ANALYSIS AND EXPRESSIVE PERFORMANCE:

FOUR SELECTED WORKS BY CHOPIN

A Dissertation
Submitted to the Graduate Faculty of the
Louisiana State University and
Agricultural and Mechanical College
in partial fulfillment of the
requirements for the degree of
Doctor of Philosophy
in
The School of Music

by
Timothy D. Saeed
B.M., University of the Pacific Conservatory of Music, 2001
M.M., Boston University, 2004
M.M., University of New Mexico, 2009
August 2014

Copyright 2014
Timothy David Saeed
All rights reserved

ii

ACKNOWLEDGMENTS
I am deeply thankful to David H. Smyth, advisor to this study, for his extraordinary
patience and his generosity in sharing with me his great knowledge and passion for music. He
took a special interest in my work and gave me the foundation of confidence necessary to
undertake my first large written work and see it through to the end. Thank you so very much for
everything!
I extend my sincere gratitude to Jeffrey Perry, for his guidance throughout the course of
my doctoral studies. Thank you for your time, advice, and friendly encouragement every step
along the way.
Next, I wish to express my humble gratitude and appreciation to Michael Gurt. Thank
you for your continuous support throughout my education and for sharing with me so many of
your astonishing musical insights. I leave Louisiana State University with a profound admiration
for your talent and great musical mind. The lessons I learned from you will remain with me for
life.
And finally, I would like to acknowledge a very dear, warm, and special thank you to my
wife, Nataliya, for her continuous unfailing moral support and loving inspirational guidance. I
could not have done this work without you, and I am deeply grateful for your loving presence in
my life. Thank you!

iii

TABLE OF CONTENTS
ACKNOWLEDGMENTS ............................................................................................................. iii
ABSTRACT .................................................................................................................................... v
INTRODUCTION .......................................................................................................................... 1
CHAPTER ONE: MATHIS LUSSYS DOCTRINE ..................................................................... 5
Lussys Theory of Musical Expression........................................................................................... 5
Lussys System of Rhythmic Structure......................................................................................... 10
Lussys Tripartite Classifications of Accent .......................................................................... 21
Analysis: Chopin Prelude Op. 28, no. 7 ....................................................................................... 26
Conclusion .................................................................................................................................... 36
CHAPTER TWO: CHOPIN MAZURKA OP. 7, NO. 2 IN A MINOR ...................................... 40
Introduction ................................................................................................................................... 40
Literature Review.......................................................................................................................... 43
Analysis......................................................................................................................................... 48
Rhythmic and Tonal Implications in the A section ............................................................... 50
Rhythmic and Tonal Implications in the Second Part of the A section, mm. 17-32
and in the B section, mm. 33-56 ............................................................................................ 66
Conclusion .................................................................................................................................... 76
CHAPTER THREE: CHOPIN PRELUDE OP. 28, NO. 17 IN Af MAJOR ............................... 79
Introduction ................................................................................................................................... 79
Analysis......................................................................................................................................... 80
Conclusion .................................................................................................................................. 112
CHAPTER FOUR: CHOPIN ETUDE OP. 10, NO. 3 IN E MAJOR ....................................... 114
Introduction ................................................................................................................................. 114
Literature Review........................................................................................................................ 115
Analysis....................................................................................................................................... 120
Rhythmic Implications in the A section............................................................................... 121
Tonal Implications in the A section ..................................................................................... 128
Motivic Fragments and Shapes ............................................................................................ 148
Conclusion .................................................................................................................................. 163
CONCLUSION: LUSSYS ELEMENTS OF EXPRESSIVE PERFORMANCE .................... 165
WORKS CITED ......................................................................................................................... 173
Recordings Cited ......................................................................................................................... 177
VITA ........................................................................................................................................... 178

iv

ABSTRACT
In this dissertation, I examine four works by Chopin and address issues of expressive
performance derived from principles of the nineteenth-century Swiss theorist, Mathis Lussy
(1828-1910). Lussys systematic approach into the understanding and organization of the
individual phrase in relation with performance practice resembles many recent theories of
rhythm and performance methodologies. As have several recent theorists, Lussy sought the
causes of expressive performance in the structure of the musical phrase, rather than a performers
artistic intuition, and identified a tripartite classification of accent.
The purpose of this study is to adapt and expand the application of Lussys theory of
accent, rhythm, and expression as a basis for performance as it relates to a discussion and
analysis of the four selected works by Chopin in conjunction with critical appraisal of recent
literature. Topics of discussion include metrical and hypermetrical analyses, grouping structure
issues, questions of initial and terminal articulations, expressive accents, and variations of tempo
and dynamics as they relate to expressive performance.
Each of the works that I have chosen traces a different form, and this allows comparison
among different arrangements of phrase and periodic structures. My performative and analytic
recommendations and suggestions are compared and contrasted with other published analyses
by Edward T. Cone, Harald Krebs, John Rink, and William Rothstein, among others. The
analyses include selected passages from the Prelude, Op. 28, No. 7 in A major; the Mazurka, Op.
7, No. 2 in A minor; the Prelude Op. 28, No. 17 in Af major; and the Etude Op. 10, No. 3 in E
major. Using Lussys precepts, along with additional commentary, I formulate alternative ways
to perform and to connect short segments and ways to shape their successions into convincing
larger and expressive designs.

INTRODUCTION
Every valid interpretation . . . represents, not an approximation of some ideal, but a
choice: which of the relationships implicit in this piece are to be emphasized, to be made
explicit?
Edward T. Cone1

Edward T. Cone was one of the first musicians to discuss and write about analytical
issues that directly address the performer. In his acclaimed work, Musical Form and Musical
Performance, Cone argues that what separates music from other art forms is that it is not fixed
and immutable, like a painting, a sculpture, or an architectural edifice. For Cone, the timing
arts, which include drama, literature, and music, are subject to readings, performances, and
interpretations . . . that are to be discovered and, so far as possible, exposed.2 Cone claims
that what makes a performance interesting and engaging, is not the music in of itself, but how a
performer interprets the music. For Cone, an interpretation of music will always involve
choiceschoices that depend on analysis of both large-scale events, like formal relationships of
a composition and deeper-level structures, and local events, like the shaping and articulations of
phrases, rhythms, and sections. Wallace Berry affirmed this opinion when he said musical
interpretation must be informed by penetrating analysis.3 Likewise, Eugene Narmour echoed a
similar sentiment claiming, performers can never plumb the aesthetic depth of a great work
without an intense scrutiny of its parametric elements.4

Cone (1968, 34).

Ibid (32-3).

Berry (1986, 415).

Narmour (1988, 340).

1

In an article from 1985, Janet Schmalfeldt examines the value and limitations of analysis
for performance by creating a dialogue between two different personalitiesa Performer and an
Analyst who each discuss and consider how their own interpretations of two Beethoven
Bagatelles might influence one another. Ultimately, Schmalfeldts Analyst concludes, there is
no single, one-and-only performance decision that can be dictated by an analytic observation.5
But like Cone, Berry, and Narmour, Schmalfeldt acknowledges that a performers interpretation
will always be subject to choiceschoices that are first and foremost influenced by analysis. The
act of performing, therefore, is rooted in the performers decisions about what is important to
convey in each passing moment, as Cone suggests. While many performers claim that they do
not partake in the act of analysis, John Rink notes otherwise, stating, Performers are continually
engaged in a process of analysis, only of a different kind from that employed in published
analyses. This sort of analysis is not some independent procedure applied to the act of
interpretation, but rather an integral part of the performing process.6 Such a notion of analysis
being an integral part of the performance process is an idea shared by Leonard Meyer. In his
classic book, Explaining Music, he states, The performance of a piece of music is . . . the
actualization of an analytic acteven though such analysis may have been intuitive and
unsystematic. For what a performer does is to make the relationships and patterns potential in the
composers score clear to the mind and ear of the experienced listener.7
In a recent article from 2012, Mime Doantan discusses a nineteenth-century view of the
performing process. She argues that the concept and practice of musical phrasing was considered
5

Schmalfeldt (1985, 28).

Rink (2002, 36).

Meyer (1973, 29).

2

to be the fundamental means for achieving expression in an artistic musical performancea

notion that remains widespread today. According to Doantan, nineteenth-century music
theorists contended that an expressive performance depends upon a performers choice
specifically, decisions regarding surface level details, such as phrasing. She explains,
As a concept, phrasing evolved to refer to the shaping of the musical phrase and its
subunits in accordance with their internal dynamic structures in a goal-oriented manner
so as to make it simultaneously intelligible and expressive: a clear and expressive
delivery of the music could be achieved through the same means, namely phrasing.
Today this concept continues to be the very basis of performance pedagogy. Even though
performance styles have changed rather dramatically between the early nineteenth- and
early twenty-first centuries, conceptually the practice of performance still relies on the
unity of the means for achieving clarity and expression: we take it for granted that when
the performer is able make the structure or form of a musical phrase intelligible, he
simultaneously renders it expressive.8
Prior to the nineteenth century, theorists sometimes opined that certain subtleties of
expression cannot really be described; they must be heard.9 In the nineteenth century, however,
theorists began to write about the term expression as a means to describe the essence of the
performing process, depicting it as the highest interpretative artistry.10 As Romanticism
embraced musical expression, theorists formulated rules, principles, and various doctrines to
classify and evaluate musical expression. They too understood that the act of performing was
synonymous with the act of interpretation. That is, the expressive prerogatives, which are an
essential component of the performing process, require performers to make choiceswhether
conscious or unconsciousconcerning the detailed functions of specific musical features and the
means of projecting them.

Doantan (2012, 15).

Quoted in Trk/Haggh (1982, 79).

10

Letanov (1991, 153).

3

Among the first to articulate such a doctrine of expressive performance was the
nineteenth-century Swiss theorist, Mathis Lussy (1828-1910). Lussys theory that the foundation
of expressive performance can be identified in metric, rhythmic, and tonal disruptions has
distinct modern associations. While his theory has been criticized for its overgeneralization of
performance instructions and for its occasional inconsistencies, nonetheless, it can effectively
focus our attention on crucial issues of expressionespecially when read beside more recent
theories.
In this dissertation, I examine four works by Chopin and address issues of expressive
performance derived from principles of Lussys theory. Each of the works that I have chosen for
this study traces a different form, and this allows comparison among different arrangements of
phrase and periodic structures. My performative and analytic recommendations and suggestions
will be compared and contrasted with other published analyses. The analyses include selected
passages from the Prelude, Op. 28, No. 7 in A major (Cone, 1968); the Mazurka, Op. 7, No. 2 in
A minor (Beach, 2012); the Prelude Op. 28, No. 17 in Af major (Rothstein, 2005); and the Etude
Op. 10, No. 3 in E major (Rink, 2004, Rothstein, 1989 and Temperley, 2008). Using Lussys
precepts, along with additional commentary by theorists including Fred Lerdahl and Ray
Jackendoff, Joel Lester, John Rink, and Heinrich Schenker, I formulate alternative ways to
perform and to connect short segments and ways to shape their successions into convincing
larger and expressive designs.

CHAPTER ONE
MATHIS LUSSYS DOCTRINE
Lussys Theory of Musical Expression
The Swiss pianist and theorist Mathis Lussy (1828-1910) lived and worked for most of
his life in Paris, where he was warmly received as a prominent pedagogue for nearly forty years.
Near the end of his life, Lussy received Frances highest decoration, Chevalier of the Lgion
dhonneur for his many contributions to music theory and aesthetics. Today, particularly in the
United States, he is hardly remembered amongst scholars.11 However, because his tripartite
classification of accent is reflected in more recent theoretical worksby authors like Sessions,
Lerdahl and Jackendoff, and KramerLussy has undeniably become a pivotal figure in the
transmission of a concept of accent in music.12 His most important book, Trait de lexpression
musicale: Accents, Nuances et Mouvements was published in 1874 and translated into English in
1885.13 This major theoretical work was met with widespread and immediate approval. The
dedicatee, Belgian composer Franois-Auguste Gevaert, endorsed it so favorably that he
implemented it for use in the Conservatoire Royal de Bruxelles of which he was director.14
Likewise, both Hugo Riemann and Hans von Blow regarded it very highly, and mile JaquesDalcroze acknowledged that it deeply influenced his own ideas concerning rhythms and musical
expression.15

11

Doantan (1997, vii).

12

Green (1991, 230).

13

Lussy (1874).

14

Smither (1960, 80).

15

Moore (1992, 32).

5

In this work, Lussy posits a theory of musical expression. He argues that expression is a
consequence of specific accentuation and articulations derived directly from rhythm. For Lussy,
musical expression is not generated by arbitrary impulse, but rather is embedded in the structure
and features of the composition, in lieu of the personality of the performer. Lussy explains:
The object of this work is to demonstrate the hitherto unknown reason which guides
artists and professors in their accentuation, and to furnish a system of rules by which a
player will be enabled to annotate and perform with expression every kind of vocal and
instrumental music . . . These rules claim neither originality nor novelty, for the greatest
masters have observed them unconsciously from time immemorial, and artists and people
of taste have always submitted to them instinctively. The task of the present writer has
therefore been merely to discover, classify, and formulate them. By this discovery, and in
spite of all the imperfections of carrying it out, . . . musical expression leaves the
exclusive domain of sentiment and enters that of reason.16
After receiving the position of Professor of Piano at one of the largest schools in Paris,
directed by the sisters of the Congrgation de la Mre de Dieu, 17 Lussy spent the next twenty
years of his life analyzing the performances of the most virtuosic musicians of his time, and
studying the works of such composers as Beethoven and Mozart as edited by Moscheles,
Marmontel, Le Couppey, and others. From this research he concluded,
By this patient observation and minute study I have convinced myself that in identical
situationsthat is to say, in similar passagesartists make use of identical
expression, with only such differences as result from the greater or less[er] degree of
delicacy of their sentiment and technical skills.18
It is from this belief that Lussy draws the following conclusions that are fundamental to his
theory:

16

Lussy (1885, iv).

17

Ibid. (1).

18

Ibid. (1-2).
6

1. They [the performers] have all received the same impressions in different degrees
from the same source; for similar effects are of course produced by similar causes.
2. As these expressions vary according to the different musical phrases, and not
according to the individuals who produce them, it is clear that the cause of the
expression resides and must be sought in the notes and the structure of the musical
phrase.
3. The great artists do not feel at liberty to accept or to repudiate the sensation which
they receive. Their unanimity of expression proves that they are . . . forced to give it
utterance, not, perhaps, conscious of the force which impels them, but unable
to resist it.19
To assist performers, Lussy codified a system of expression involving the following steps:
1. Identifying the notes and passages which most excite and impress the performer.
2. Classifying each of those notes and/or passages.
3. Formulating laws that correspond to specific performative actions.20
Since these apprehensible laws, according to Lussy, are logically supported, performances of the
same piece will not differ significantly. To support this theory of musical expression, Lussy
states:
Anyone who has mastered these rules may take a piece of vocal or instrumental music
without a single mark of expression; and after noting the general structure of the phrases,
the melodic and rhythmic design, the irregularities in the intervals, the chromatic notes,
long notes, repeated notes, auxiliary notes . . . will then be able to point out the exact
points which every artist would naturally emphasize, where he would quicken or slacken
the tempo, and so on.21
Heinrich Schenker (1868-1935) conveyed a similar view in the twentieth century in the preface
to his edition of Beethovens Ninth Symphony, in which he states:

19

Lussy (1885, 2).

20

Ibid. (3).

21

Ibid. (4).
7

If, for example, the Ninth Symphony had come down to uslike most of the works of
Sebastian Bachwithout express dynamic symbols, an expert hand could nonetheless
only place those symbolsaccording to the contentexactly as Beethoven himself had
done.22
In his Entwurf einer Lehre vom Vortrag, Schenker articulates an analogous view concerning his
general philosophy of performance: Performance directions are fundamentally superfluous,
since the composition itself expresses everything that is necessary.23 Similarly, American
pedagogue Alfred John Goodrich (1848-1920), another contemporary of Lussy, also understood
that there are many compositions in which necessary punctuating marks are not indicated . . .
[and which] we must supply.24 Hence, Lussy, along with other prominent musicians of his time,
maintains that although composers may not always include adequate performance instructions in
their scores, skilled performers can discover what is needed to render the works effectively. For
Lussy, differences in performance interpretations result from the degree to which individual
performers are instinctively perceptive of and familiar with certain laws of musical expression.
Ultimately, a performers liberty of interpretation must submit to the limits imposed by the laws
of expression.25 Lussy recognizes that great artists know these limits instinctively while many
others remain unfamiliar with them. Still, Lussy maintains that such aptitude . . . [for these
laws] is nothing peculiar or individual . . . [it] only requires practice.26

22

Quoted in Rothstein (1984, 5).

23

Ibid.

24

Goodrich (1899, 39).

25

Lussy (1885, 4).

26

Ibid. (12).
8

The principal tenet of Lussys theory is that music involves three vital components
tonality, meter, and rhythm. Lussy implies that musical experience has habituated us to anticipate
and favor tonal attraction as well as regularity and symmetry. For Lussy, when a clear pattern is
established the listener expects it to continue in the same manner. However, whenever
established patterns in any of these realms are threatened, then the mind responds emotively,
causing the performer to react expressively.27 In his Trait, Lussy clarifies,
Now it is precisely these unexpected, irregular, exceptional notes, and as it were, illogical
notes which more especially have the faculty of impressing the
feelings. They are the notes that engender expression, because they are the elements of
stimulus, movement, force, fire, and contrast. The musical sentiment, being accustomed
to expect affinity, regularity, and symmetry, is startled and disturbed by
these unexpected and foreign notes.28
In the twentieth century, Leonard Meyer articulated a strikingly similar theory in his
Emotion and Meaning in Music, in which he stated: affect or emotion-felt is aroused when an
expectationa tendency to respondactivated by the musical stimulus situation, is temporarily
inhibited or permanently blocked.29
For Lussy, whenever these unexpected and foreign notes appear, the listener is startled
because the established structure is disturbed. To justify these disruptions, a performer must treat
them with special care to aid the listener in recognizing and accepting these irregularities. The
more sensitive a performer is to the notes and rhythms that disorder an established structure,
Lussy believes, the more expressive his or her playing. Accordingly, he defines musical
expression as such: Musical expression is the manifestation of the impressions produced on the

27

Green (1994, 197).

28

Lussy (1885, 8-9).

29

Meyer (1956, 31).

9

sentiments by those irregular notes which are destructive of key, mode, metre, and rhythm, and a
revelation of the struggles and disturbances of our musical instinct.30 To aid students in
developing sensibility and skill in matters of musical expression, Lussy codified an intricate
system of rules that articulate a classification of accents and systematize an underlying phrase
structure of music.

Lussys System of Rhythmic Structure

Perhaps the most crucial contribution of Lussys theory deals with rhythmic structure
(what we today understand as phrase structure). He begins with what he refers to as the largest
structural unitthe priode. Lussy defines it as a succession of rhythmical phrases, concluding
with a sound which gives the ear a feeling of complete and final rest.31 Lussy then divides the
priode into smaller subdivisions of phrases: hemistich (antecedent or consequent phrase),
rythme (subphrase), and incise (a motive or fragment of a phrase consisting of one or more
notes).32 Lussy claims that there are two differences between the levels of an incise and a rythme.
First, an incise is perceived as a fragment normally involving one or several notes, and second,
the end of an incise is characterized by an interruption, not by repose.33 Mine Doantan explains,
30

Lussy (1885, 10).

31

Ibid. (52).

32

In the English translation of Trait (Musical Expression), M.E. von Glehn translated

incise as section. I decided, to avoid ambiguity, to use Lussys French terminology when
referring to his concepts of phraseology and articulations throughout this study. Section and
Incise both etymologically relate to the notion of cutting or slicing.
33

Doantan (1997, 101).

10

an incise is an incomplete, inclusive sense-unit of the musical syntax . . . [while] the [rythme]
. . . identifies a moment of melodic and/or harmonic arrival or repose.34
Recognizing group boundaries at the level of the incise and the rythme, according to
Lussy, involves four criteria: length, rest, parallelism, and pitch proximity. Lussy explains,
music, the elements of which, among all the arts, are the most fugitive, least stable,
requires not only reposes, but also repetitions, of the same passages, of the same
elements, so that the ear and the mind can grasp the idea and the feeling hidden behind
the notes of each phrase, each strophe. The principle of musical phraseology resides
precisely in this necessity.35
Lussy describes examples of incises as consisting of:
1. A short figure . . . repeated several times.
2. A long note followed by a short one and repeated several times.
3. A short note followed by a long one and repeated several times.36
In each excerpt of Example 1.1, Lussy indicates the grouping boundaries of the incises
with a slur followed by a comma. There is no explanation, however, for why Lussy groups the
last six beats of Example 1.1(a) as one unit. Doantan believes that Lussy does so because the
parallelism of the first two incises is discontinued in the third one. She explains, Instead of
hearing a boundary between E and C in the third measure, which would be effected by the nonproximity of the pitches, the ear chooses to pick out the difference of the group from the two
previous ones.37 In Trait, Lussy does in fact say that each group, distinguished by its
difference from or resemblance to the preceding or the following [group] evidently forms a unit,
34

Doantan (2002, 81).

35

Quoted in Doantan (1997, 102).

36

Lussy (1885, 72-3).

37

Doantan (1997, 103).

11

a. Source unspecified

b. Mozart Piano Sonata in F Major, K. 332, movement I, mm. 1-4

c. Beethoven, Six Variations on Nel cor pi non mi sento, WoO 70, mm. 1-2

Example 1.1: Lussys examples of incises38

a [rythme or] an incise, depending on its length.39 Erwin Ratz, and other more recent authors,
would probably recognize this example as a sentence consisting of 1+1+2 bars.40 Lussy,
however, does not explicitly acknowledge this frequently encountered design.
Example 1.2 reproduces Lussys segmentation of the beginning of Mozarts Piano
Sonata, K. 331, first movement, in A major.41 According to Lussy, mm. 1 and 2 represent

38

Lussy (1885, 72-3).

39

Quoted in Doantan (1997, 103).

40

Caplin (1998, 9).

41

Lussy (1885, 68).

12

incises, since they consist of short motives that are identical in contour and durational values.
Measures 3-4, on the other hand, are grouped as a longer cadential subunit. He explains,
The first and the second bar are exactly the same in design, and, therefore, each is an
[incise]. The fourth differs a little from the third. These two bars in conjunct movement,
by their ascending and descending structure, form a whole which may be called a [half
cadence]. The fifth bar is exactly the same as the first; the sixth as the second; the seventh
and eighth retain the same notes as the third and fourth with a slight change; the notes
ascend from the tonic to the [supertonic chord] by consecutive movement, then descend
to the tonic, and thus form an actual [authentic cadence] and the whole should be phrased
thus.42

Example 1.2: Lussys analysis of incises, rythmes, hemistiches, priode indicated with
annotated punctuation marks: Mozart, Piano Sonata in A major K. 331,
Andante grazioso, mm. 1-8

In Lussys analysis, he uses linguistic structures to articulate rhythmic groups, an analogy

that continues the eighteenth-century tradition.43 For instance, the punctuation marks above the

42

Lussy (1885, 68).

43

Doantan (1997, 87).

13

score (the comma, the semicolon, and the period) represent various degrees of repose, closure, or
even incomplete ideas. From the punctuation, we can conclude that Lussy refers to mm. 1, 2, 5,
6, as 1-bar incises; mm. 3-4 and mm. 7-8 as 2-bar rythmes; mm. 1-4 and mm. 5-8 as 4-bar
hemistiches; and finally the entire antecedent-consequent phrase, mm. 1-8, as a priode.
The ictus is an additional term which Lussy identifies as the name given to the first
and to the last accented beat of a [rythme] of which they form points of support.44 For Lussy,
the icts are accents of weight that mark the points of melodic and/or harmonic stability.45
Lussy explains, [rythmes] have two icts, an initial ictus and a final ictus. These are the strong
sounds, the pillars of the [rythmes]. They should always fall on a thsis, i.e. on the first or
downbeat of a bar.46 In her dissertation, Doantan describes Lussys icts as rhythmic events
marked by certain melodic or tonal events. She states that the initial ictus . . . marks a melodic
and/or harmonic initiation; the final ictus corresponds to a melodic and/or harmonic arrival.
Doantan clarifies, however, not all [rythmes] have both the initial and the final icts.47 Lussy
illustrates these points in his treatise LAnacrouse dans la musique moderne (1903) with his
analysis of La Marseillaise, as reproduced in Example 1.3.48 Note that the icts always fall on a
downbeat regardless of where the phrase actually ends. Lussys feminine and masculine labels
corroborate this distinction. Lussy describes masculine endings as rhythmic groups that end on
the downbeat while feminine endings are those in which the final sound falls on a weak beat or
44

Lussy (1908, ix).

45

Doantan (1997, 116).

46

Lussy (1908, 9).

47

Doantan (1997, 113-15).

48

Lussy (1903, 2).

14

on a weak part of the first beat.49 For Lussy, the last note or chord of a phrase that involves a
feminine ending is commonly unaccented, as illustrated in Example 1.4.

Example 1.3: Lussys analysis of La Marseillaise, mm. 1-4

Example 1.4: Feminine ending, Chopin Mazurka, Op. 7 No. 2 in A minor, mm. 1-4

In Lussys theory, he implies a perceptual distinction between the initial and final icts.
Doantan describes this idea as follows:
The concept of the principal ictus distinguishes the listeners experience of motiontowards and motion-away-from as a rhythmic unit unfolds. If the principal ictus is the
initial one, the group moves away from it; if the final ictus is the principal one, the group
moves towards it. When the group has a single ictus the context for identifying a
principal ictus does not arise: the group as such moves towards or away from its only
ictus.50

49

Lussy (1908, 27).

50

Doantan (1997, 118-19).

15

When the initial ictus of a rhythmic grouping is absent and instead contains a rest on
the downbeat, Lussy referred to it as a dcapit (headless) group. An excerpt that Lussy used to
illustrate this type of grouping is reproduced in Example 1.5. Although the bass is notated on the
downbeat, Lussy argues that the decisive factor for labeling it as a dcapit group involves the
notation of the melody.

Example 1.5: Dcapit group, Chopin Nocturne, Op. 48, No. 1, mm. 1-4

Tempo variation in performance, Lussy believes, is significantly influenced by the structural

nature of rhythmic groups. For instance, thesic rythmes, i.e. those that begin on a downbeat,
normally create more stable and consistent timing profiles than anacrustic groups would produce.
The reason is that anacrustic rythmes have unstable beginnings that strive towards the final icts,
and they are frequently vulnerable to tempo fluctuations.51 Thesic rythmes, by contrast, will
generally involve motion from an initial ictus, and do not usually call for variation of the tempo.
By identifying and classifying incises and rythmes, Lussys phrase taxonomy can serve as a
valuable guide for the performer, especially when considering tempo and dynamic fluctuations.

51

Lussy (1885, 165-66).

16

Lussy was particularly interested in the manner in which rhythmic units begin and end. For
Lussy, final icts articulate points of repose. An initial icts, by contrast, initiates motion,
propelling the music forward. In Le rhythme musical, Lussy summarized three basic types of
anacrusis: anacrouses intgrantes, anacrouses accessoires, and anacrouses motrices.52 The first
two types of anacrusis generate varying degrees of structural integration. In Example 1.6(a), for
instance, elimination of the anacrouses intgrantes would eradicate the essential character of the
rhythm. In Example 1.6(b), however, the anacrouses accessoires (the sixteenth notes at the end

a. Anacrouses intgrantes, Beethoven, Piano Sonata, Op. 31, No. 2, Allegretto, mm. 1-4

b. Anacrouses accessoires, Beethoven, Piano Sonata, Op. 2, No. 3, Adagio, mm. 1-4

Example 1.6: Anacrouses intgrantes and anacrouses accessoires53

52

Lussy (1908, 20).

53

Ibid.
17

of mm. 2 and 3) could be omitted without altering the basic character of the rhythmic unit. Lussy
explains,
anacrouses intgrantes . . . form an integral part of rhythms, the very essence and
character of which would be completely destroyed by their removal . . . [while the]
anacrouses accessoires . . . may be removed without in any way affecting either the
completeness of sense or the expressive significance of the rhythm.54
Unlike the other two categories, Lussy discusses the anacrouses motrices in the context
of implied motion and not formal classification. That is, they do not affect the expressive
character of a rhythm.55 He further divides this type into two groups
anacrouses acclratrices and anacrouses suspensives. Lussys main idea here is that the
normative motion for an anacrouse acclratrice is forward moving while the normative motion
for the anacrouse suspensive is to become slower. He explains, Both of them, if one responds to
their stimulus, upset the general movement of a piece: they accelerate it or retard it.56 Lussy also
commented on the how the relationship between an anacrusis and a downbeat affects the
direction of the melodic line. He explains,
A slight slackening of the speed may occur on an anacrusis in movements and passages
of moderate or slow tempo. This is particularly the case when the anacrusis is of a
chromatic nature and contains a high sound. Ascending anacruses, on the contrary, have a
hurrying tendency, especially when they occur in movements of a lively or moderately
lively character.57
Lussy cites La Marseillaise to demonstrate his ideas concerning the anacrouses
acclratrice, as shown in Example 1.7. In these examples taken from Le rhythme musical,

54

Lussy (1908, 20).

55

Ibid.

56

Quoted in Perkins (1961, 134).

57

Lussy (1903, 9).

18

Lussy specifies the icts points with martellato markings. He explains, The anacruses, formed
in each case by the three quavers, are not indispensable to the respective rhythms, and that even
with their removal, as shown in Example 1.7(b), the fundamental idea remains the same.58

a.

b.

Example 1.7: Anacrouse acclratrice, Lussys analysis of La Marseillaise, mm. 1-4

Lussy uses the excerpt quoted in Example 1.8 to exemplify the anacrouse suspensive.
The fermata over the initial Bf is a striking and convincing example of an event on which there
is a tendency to dwell . . . We dwell involuntarily on this sound as though a pause were
indicated. [Anton] Rubinstein and [Hans] von Blow thus interpret it [this way].59

Example 1.8: Anacrouse suspensive, Schubert, Impromptu, Op. 90, No. 2, mm. 1-2
58

Lussy (1903, 21).

59

Lussy (1908, 22).

19

Lussy devised five rhythmic categories to identify the ways in which units begin and end.
Three of the five categories define beginnings, which (as listed above) can be thesic, anacrustic,
or dcapit; the remaining two classify endings, which can be masculine or feminine, as
mentioned earlier. Thesic groups are units that begin with the initial ictus on the downbeat. For
instance, the third movement of Beethovens Piano Sonata Op. 79, reproduced in Example 1.9,
begins with a thesic-dipody. It is considered thesic because its initial sound falls on the first beat
of the bar, and a dipody since the unit comprises two measures.

Example 1.9: Thesic group, Beethoven Piano Sonata Op. 79, Vivace, mm. 1-2

Anacrustic groups are when one or several notes precede the initial ictus. According to
Lussy, an anacrusis can begin on any part of any beat within a measure except on the downbeat.
Example 1.10 demonstrates a progression consisting of two anacrustic dipodies.

Example 1.10: Anacrustic groups, Beethoven Piano Sonata Op. 31/1, Allegretto, mm. 1-4

While Lussy did not extend his distinction between the initial and final icts to larger
rhythmic units, his ideas can be applied to larger groups or areas. Edmond Monod, who was
20

commissioned by the Comit de lAssociation des Musiciens Suisses to publish the first book
about Lussys theories, suggests this notion. For Monod, metrical difference in stress is possible
among measure units. He states, the existence of strong measures . . . is to be sure not only a
possibility, but a fact.60 This concept of larger bar groupings was first described by Edward T.
Cone in his discussion of Romantic music. Cone explains,
one can find long stretches in which the measures combine into phrases that are
themselves metrically conceivedinto what I call hypermeasures. This is especially
likely to occur whenever several measures in succession exhibit similarity of motivic,
harmonic, and rhythmic construction. These almost demand to be counted as units.61
These issues will be fully explored and treated in the analyses that follow.

Lussys Tripartite Classifications of Accent

The most prominent contribution of Lussys Trait is his tripartite classification of
accent. To highlight an expressive event, Lussy affiliates a type of accent with each of the
characteristics of regularity and symmetry. Lussy labels the first two accents accent mtriquea
stress on the first note of each measureand accent rythmique, used to label the accents
corresponding to the first and last notes of each rhythmic group.62 The examples below are taken
from Lussys Musical Expression (pp. 33 and 45). In Example 1.11, Lussy explains that the
notes marked with a chevron are accented because they are the first beats of each measure and
also involve the longest notes. Lussy explains that such rhythms are of the utmost importance
because It is on these notes that singers and violinists produce the effect called vibrato.

60

Quoted in Perkins (1961, 147).

61

Cone (1968, 79).

62

Lussy (1885, 15).

21

Example 1.12 provides a clear illustration of 2-bar groupings (dipodies) in compound duple
meter, each having an initial and final accent.

Example 1.11: Accent mtrique, Rossini, Stabat Mater, No. 2 Air, mm. 9-12

Example 1.12: Accent rythmique, Andr Grtry, excerpt from La rosire de Salency, Ma
barque lgre, mm. 9-12.

According to Lussy, the accent mtrique and accent rythmique can assist in making a
performance intelligible but they lack the ability to make it expressive.63 Thus, Lussy identifies a
third type of accent, the accent pathtique. He explains,
every time that a note or notes, foreign to the original key . . . appear and break the
regularity of the [accent mtrique] or destroy the symmetry of the first rhythmical design
. . . consequently producing a startling impression . . . [their] essential character [are]
defined by the single term the unexpected.64
Example 1.13 shows a phrase featuring modal mixture, taken from Lussys Musical Expression
(p. 142). In this excerpt, Lussy observes that because the phrase begins in Bf major, the listener
will experience the chromatic notes, which suggest the parallel minor mode, as something

63

Doantan (1997, 146).

64

Lussy (1885, 125-6).

22

unexpected. Lussy contends, Every note and every passage which causes a displacement of the
tonic or a change of mode must be accented.65

Example 1.13: Accents pathtiques, Franois-Adrien Boieldieu, excerpt from La dame

blanche
While the accent rythmique will generally supersede the accent mtrique, the accent
pathtique will always take precedence over both the accent mtrique and the accent
rythmique.66
In chapters VII and VIII of the Trait, Lussy specifies two different ways in which the
accent pathtique can be realized in performance: First, through more passion and energy, i.e. an
accelerando, which must be followed by a gradual loss of intensity and slowing down, a
rallentando or ritardando; and second, through greater intensity of volume, a crescendo, which
will be followed by a reduced level of volume, a diminuendo. This balance of one force and its
opposing or contrary force together form what Lussy identifies as mouvement passionnel for
tempo changes and nuance for an increasing or decreasing of volume. For Lussy, accent
pathtique, mouvement passionnel, and nuances are all interrelated. He argues that a primary
source of expression in performance relates to the application of the accent pathtique and the
execution of the mouvement passionnel. Lussy explains:

65

Lussy (1885, 143).

66

Ibid. (15).
23

Every time that the [accent pathtique] occurs on one or more consecutive notes, the
feeling of the musician is excited by the obstacles which he has to surmount, and he
becomes animated, impassioned, or deadened. The normal tempo is either quickened or
slackened. The [mouvement passionnel] therefore acts detrimentally upon the normal
tempo and destroys its regularity; but on the other hand, the piece gains in life and
expression.67
In the Trait, Lussy lists specific events to which the performer should apply an increase
of velocity. Accelerated motion, for Lussy, may be produced by several consecutive expressive
notes, or by one note of exceptionally great length. He goes on to say, however, that an
accelerando must take place when a passage is ascending, as illustrated in Example 1.14, or by a
configuration that involves an exceptional amount of passion and excitement,68 as shown in
Example 1.15. Both excerpts are taken from Musical Expression (pp. 173 and 176).

Example 1.14: Mouvement passionnel, John Field, Nocturne No. 5, mm. 31-34

Example 1.15: Mouvement passionnel, Mozart, Fantasy in D minor, K. 397, mm. 23-24

Lussy offers a similar approach in passages that call for a deceleration. He explains that
rallentandi arise when of one or two consecutive expressive notes occur at the beginning,
67

Lussy (1885, 165).

68

Ibid. (168).
24

middle, or end of a rhythm.69 He further describes that a rallentando is produced by an

ascending or descending progression resulting from fatigue and exhaustion at the end of a
rhythm or by exceptional change of moodthat is, a serene moment in the midst of an agitated,
fast movement. Today, we would most likely hear what Lussy calls fatigue and exhaustion as a
relaxation of tensions. The most common rallentando events are those passages that are initially
presented in the major and then immediately echoed in the minor, as the brackets in Example
1.16 demonstrate.

Example 1.16: Mouvement passionnel, Mozart, Fantasy in C minor, K. 475, mm. 64-6970

In his discussion of nuances, Lussy presents numerous rules instructing a performer

where to offer greater or lesser fluctuations in volume and where to begin a crescendo or
diminuendo.71 These principles are illustrated with various types of passages. Lussy, for instance,
advises performers to crescendo in ascending passages or in passages in which the texture
thickens, and apply a fuller tone and greater force to dotted rhythms, syncopations, and
chromatic notes or chords. Longer notes, for Lussy, also require a greater force of energy so

69

Lussy (1885, 177 and 181).

70

Ibid. (186).

71

Ibid. (198-203).
25

that the tone may be sustained.72 In Example 1.17, Lussy advises the performer to apply less
force for the smaller durational values and greater force for the half note at the end of the
excerpt. Lussy indicates this with dynamic and articulation markings that he adds to the score.
This example can be found in Musical Expression (p. 200). Table 1.1 provides a brief synoptic
account of Lussys accent types and taxonomy of expressive terms.

Example 1.17: Lussys nuances, Daniel Steibelt, Turkish Rondo in C, mm. 185-189

Analysis
Chopin Prelude Op. 28, no. 7
Chopins Prelude in A major, Op. 28 no. 7 proves to be an excellent introductory
example for an application of Lussys theory. This seemingly simple work exploits a highly
sophisticated combination of metrical, rhythmical, and tonal devices, and Lussys categories can
help us to work toward an expressive performance.
My analysis will begin with a consideration of the Preludes rhythm, which consists of
eight iterations of a 2-bar unit. Clearly, a sensitive performance of this Prelude will not present
each of these eight rhythmic units in the same manner. The aim of my analysis is to consider
72

Lussy (1885, 200). Lussys frame of reference is, of course, the piano, for which

loudness equals sustainability.

26

Table 1.1: Lussys accent types and taxonomy of rhythmic and expressive terms
Lussys Tripartite Accents:

Lussys Grouping of Sounds Concerning Rhythms:

Accent mtriquea stress

Incisethe most concise musical idea.

on the first note of each

RythmeLussys term for the level just

measure.

above an incise.

Accent rythmiqueaccents

corresponding to the first

and last notes of a rhythmic
group.

Ictsstable points at the beginning and

end of a rhythmic unit.

L'ictus principal an ictus which the

music moves towards or away from.

Accent pathtiqueaccents
on notes that break the
regularity of tonality, meter,
or rhythm.
Lussys Pathtique Elements:

Mouvement passionnelan acceleration or slowing of tempo.

Nuancean increasing and decreasing of dynamics.

various ways to shape the timing and dynamic of each unit, and then determine how to create a
well-articulated progression for the composition as a whole. Since each unit is a partial and
inconclusive segment that is a subdivision of a phrase, Lussy would identify these units as
incises. In general, Lussy teaches that the first note of an incise is accented while the last note
remains unaccented. Other factors, however, may override this instruction. Is this incise
27

beginning-accented or end-accented? The reader should experiment by tapping the rhythms

shown in Example 1.18.

Example 1.18: Chopin, Prelude Op. 28 No. 7, mm. 1-2: three possible readings

In Example 1.18(a), the initial downbeat carries what Lussy identifies as an accent
mtriquethat is, a stress on the first note of each measure that will act as a point of initiation
from which the energy flows. In Example 1.18(b), the second downbeat calls for greater stress
since it involves a longer duration preceded by a shorter one. Lussy would refer to this agogic
articulation as an accent rythmique, a goal toward which the units energy is directed. In
Example 1.18(c), both downbeats are stressed allowing the energy to flow in two directions. One
should experiment with all three options and try to shape ones performance by feeling an
impulse surfacing from the first downbeat and progressing toward the second. To achieve this,
Lussy would suggest integrating a nuance (an increasing and decreasing of dynamics), combined
28

with a mouvement passionnel (an acceleration or slowing of tempo). With both expressive
gestures, he would recommend an interpretation that creates a balance of forces between the two
articulations. For instance, a slight accelerando can be achieved by hurrying through the
anacrusis, while counterbalancing it with a ritardando as the unit reaches its end. One should try
testing various interpretations by adjusting the variables to ones liking.
Ideally, to help us realize the criteria for a balanced performance, performers need to
address local and large-scale structure. Edward T. Cone introduces the concept of hypermeasures
in his analysis of this Prelude.73 Cone suggests that we consider alternative notations that enable
us to feel the interaction of beats and their groupings at levels above that of the notated measure.
For instance, he arranges mm. 1-4 as a pair of measures in 6/4 meter. One may experiment with
different interpretations by tapping the two contrasting articulations shown in Example 1.19(a
and b), and noting the distinctly different ways the metrical and hypermetrical accents are
experienced.

Example 1.19: Prelude, mm. 1-4: two possible readings

73

Cone (1968, 39-43).

29

As mentioned above, Lussy identifies the stable points at the beginning and end of a
musical unit as icts. When the initial ictus is stronger than the final one, it produces an impulse
that sets the unit in motion. When the final ictus is stronger, it directs the energy of the unit to a
point of arrival or completion. In Example 1.19(a), the first downbeat is taken to be the initial
ictus, and the anacrusis that precedes it subtly adds to its function as a point of initiation from
which the rythmes energy flows. In this rendition, the basic scheme for the 4-bar rythme would
produce an accentual pattern of strongest-weak-strong-weak. In Example 1.19(b), the last
downbeat is taken to be the final ictus of the rythme, marking the point toward which the
rythmes energy is directed. This would create an accentual pattern of weak-strong-weakstrongest. Beginning-accented rythmes call for a slight accelerando into the downbeat of each
odd bar and decelerando approaching the downbeat of the even bars. This concurs with the basic
understanding of Lussys mouvement passionnelwith each force of energy there is a counterforce. The end-accented rythmes create a different effectinstead of accelerating into the
downbeats of the odd bars, motion quickens into the even bars while slightly slowing into the
odd bars. One may experiment with performing each of these alternatives, exploring different
degrees of rubato and nuances to seek a balanced application.
At the 8-bar level, we are faced with the same choices of regulating accentuation
as those of the 2- and 4-bar levels. Harmonic analysis helps determine how best to shape these
units. One should try performing mm. 1-8 with the alternatives indicated in Example 1.20(a and
b). Now we could compare the effect of playing the same passage with approximately equal
stress at both the beginning and ending, but shaping our performance by thinking of energy
emerging from the initial V7 to the terminal I, as shown in Example 1.20(c).

30

Example 1.20: Prelude, mm. 1-8: three possible readings for the 8-bar level

31

For the antecedent phrase (mm. 1-8), any of these alternatives might contribute well to
expressive performance. But if we look closely at the harmonies and melodic shape of mm. 9-12,
we are faced with an event that will ultimately impact the decisions we have to make about
regulating accentuation in the consequent phrase. The chord on the downbeat of m. 12 is striking
and its potential for interpretative expression is clearly evident. Even though at the 8-bar level we
considered accentuations only at beginnings and endings, we simply cannot ignore this powerful
event that dominates the articulation of the consequent phrase and gives shape to the entire
Prelude. Lussy would say that this moment calls for an accent pathtiquethat is, an emphasis
on notes that break the regularity of tonality, meter, or rhythm. Since this moment supports
Chopins only crescendo marking, reaches the highest note of the Prelude, generates the thickest
texture, and initiates an acceleration in harmonic rhythm, one might consider applying a touch of
tenuto on each high Cs combined with an accelerando and crescendo leading into m. 11,
followed by a slight ritenuto and a continuous crescendo to the downbeat of m. 12. This effect of
smaller and larger gradations in velocity and volume corresponds to Lussys mouvement
passionnel. With a considerable decline of energy after the climax, all of the remaining energy,
however, will continue flowing to the final cadencetoward what Cone refers to as the
structural downbeat of the Prelude.
If we play m. 12 with the emphasis the climax deserves, then the downbeat of m. 13 will
naturally lose some of the emphasis it would otherwise receive. By underplaying m. 13, and
giving slightly more emphasis to the V9 in m. 14, we can continue the reversal of expected
accentuation as we drive to the final cadence. The closing tonic arrives in a relatively weak bar,
but one can even experiment with giving just a bit more emphasis to the last ascending melodic
leap in m. 16, since it is the largest leap in the Prelude. Moreover, the kind of emphasis that is
32

needed for the climax is not the same articulation that is needed for the final cadence. A gradual
and steady ritardando and diminuendo from m. 12 to the downbeat of m. 16 is one possible
interpretation. With the initiation of a motivic figuration in the alto voice that descends to the
cadential dominant (As$B-An$Gs), m. 12 leads harmonically to the structural dominant in bar 14.
It locally resolves the tension from the preceding harmony while maintaining a dissonant note in
its top register. This makes the closing tonic appear in a metrically weak measure, serving as
both a goal of motion and a release of tension, as shown at the 2-bar level in Example 1.21. The
symmetry of the basic metric organization established in the antecedent phrase will now change,
and performers must be perceptive in their awareness of this. This irregularity is clear and
striking only when felt within a context of relative regularity.

Example 1.21: Prelude, mm. 9-16: degrees of accentuation at the 2-, 4, and 8-bar levels

33

Cone suggests that the essential structure of the entire Prelude consists of an extended
upbeat followed by [a] downbeat,74 best understood as tension (initial stress) followed by
relaxation (structural downbeat). My analysis, when expanded to the 16-bar level, does indeed
agree with Cones reading that the unifying effect of the Prelude leads to the weakening of
the antecedent cadence and of the consequent initial downbeat,75 resulting in forward impulse to
the final cadence. As Cone clarifies, this rendition generates two essential articulationsthe
initial ictus, serving as an impulse of motion, and the structural downbeat, serving as the goal of
motion. Lussy would refer to the latter as the ictus principal, the more influential of the two ictus
points. This interpretation relates to one possible way of performing Lussys incises and rythmes,
and certainly, there are many ways in which Cones analysis can be associated with Lussys
articulations and his instructions for realizing them in performance. However, it is worth
considering other interpretations that Lussys theory suggests. For instance, the climax of the
Prelude occurs in m. 12 and Lussy would argue for an essential accent pathtiquea stress that
Cones reading largely overlooks. While Cone concludes that the entire Prelude can be felt as a
single, long phrase, I believe that the Preludes peak of tension produces a third essential
articulation. As shown in Example 1.22, these three deeper-level articulations unfold in the
following manner: the initial ictus of mm. 1-2 sets the Prelude in motion; the crescendo into m.
12 functions as a pivotal point of tension with its metric syncopation perceptible at the 2- and 4bar levels; and at the 16-bar level, the ictus principal of mm. 15-16 functions as a point of
relaxation with its final cadence serving as a tonal goal, releasing all tension. As Cone suggests,
we may underplay the tonic ending of the antecedent phrase to avoid premature closure,
74

Cone (1968, 25).

75

Ibid. (42).
34

Example 1.22: Prelude: deeper-level articulations with linear and harmonic considerations

however, at the 8-bar level we should articulate m. 9 so as to make it almost equal to m. 1 since it
is the point of initiation for the second phrase.
Through the application of these three deeper-level articulations, we generate an
overall tempo fluctuation as follows: a flowing antecedent phrase that steadily moves towards
the imperfect cadence at mm. 7-8; a consequent phrase that begins with a slight acceleration; and
a significant and continual decrease of tempo immediately following the peak of m. 12,
dissolving into the final cadence. The dynamic gestures associated with these three deeper-level
articulations likewise give shape to the musical expression of the Prelude. At the 16-bar level,
the initial ictus of mm. 1-2 serves as a generator of motion. The ictus principal (mm. 15-16), on
the contrary, calls for a diminuendo resolving the Preludes tension completely. Finally, although
35

energy is directed towards the ictus principal, the expressive climax of the Prelude is clearly
marked by m. 12.

Conclusion
By deriving principles from Lussys theory, my approach departs from Cones in several
ways. Cone is primarily interested in formal considerations; I am concerned with a nuanced and
varied performance of surface details. Cone observes two strong points of deeper-level
articulation; I view three. And lastly, Cone interprets his structural downbeat as the ultimate
active force in the Prelude; I argue that m. 12 generates the Preludes dramatic action, marking a
critical point in the directed flow of its energy.
I conclude my discussion with an annotated score that projects many of the features
discussed in the analysis (see Example 1.23). My expressive rendition is one possible
interpretation based on choices derived from the application of Lussys theory. I suggest that
three deeper-level articulations guide the overall dynamic nuances and tempo variations. The
initial ictus of m. 1 sets in motion an alteration of strong and weak bars. This point of initiation is
followed by a decrease of dynamic intensity. However, its harmonic implications permit me to
choose an accelerando through the downbeat of m. 2, as a result of the dominant chord needing
to resolve. Its gravitational pull to the tonic triad allows me to evade any sense of repose between
the first and second incise. Therefore, the rhythmic motion pushes forward. Because the second
incise reaches a higher plateau, it naturally will receive a stronger dynamic nuance. Its rising
contour reaches the tonic pitch A for the first time in the melody. This leads me to interpret the
second incise as a middle-accented unit followed by a brief caesura, which will help distinguish
to the listener clear 4-bar units. The third incise, in my rendition, is the softest. This decision is
36

Example 1.23: Prelude: annotated score based on the application of Lussys theory
37

based on the deeper-level articulations from the 8-bar level analysis, which revealed that mm. 56 are experienced as a weaker pulse than mm. 7-8 (see Example 1.22). At the beginning of the
consequent phrase, the momentum slightly builds, anticipating the surprise of m. 12. As Cone
correctly observed, a performer needs to take extra precaution with the beginning of this phrase
because: The phrases are too similar, since each proceeds twice from the dominant to the tonic.
And although the first phrase does not arrive at a perfect cadence, it nevertheless marks too firm
a close too early in the piece.76 To differentiate m. 9 from m. 1, I opted to begin the consequent
phrase with less dynamic intensity. The listener by now is already familiar with the regularity of
the metric structuretherefore, m. 9 needs no additional stress. Its grouping structure is phrased
as a weak beginning-accented incise. As noted in my analysis, the dynamic intensity of m. 12
functions as a dramatic point of tension with its metric syncopation perceptible at the 2- and 4bar levels. At the beginning of m. 11, Chopin marks a crescendo to the downbeat of m. 12,
demarcating the Preludes most expressive harmony. Ironically, in Rubinsteins 1946 recording,
he employs a sudden decrease of dynamic intensity right before the downbeat in m. 12, negating
Chopins marking.77 While this may seem almost counterintuitive to Lussys description of
pathtique events, nowhere in his theory does he emphatically treat all dissonances equally.
Doantan explains,
Lussy does not hierarchize chromatic notes and chords in terms of the degree of dynamic
intensity they require in performance, because the degree to which a tonal event is
experienced as unexpected and foreign depends on the performers previous musical
experience and evaluation of the tonal context.78

76

Cone (1968, 41).

77

Rubinstein (1946).

78

Doantan (2002, 122).

38

Lussys fundamental assumption in this connection is that ultimately performers must

choose themselves which relationships are most crucial to accentuate. The highest note of a
phrase, in Lussys theory, is often depicted as an accent pathtique. But unlike extraordinarily
long notes, which generate acceleration, extraordinarily high [notes] slow the tempo down.79
The climactic moment is followed by a long caesura. To balance the loss of velocity, I chose to
propel the successive incise forward, thus allowing the alto line to discharge its newly aroused
dissonance (mm. 13-14). I end the Prelude with a slight crescendo to reach the final tonic pitch
in the melody, coupled with an intense loss of velocity. Like Cones structural downbeat, the
ictus principal of mm. 15-16 releases all tensions, serving as a tonal goal.

79

Doantan (2002, 134).

39

CHAPTER TWO
CHOPIN MAZURKA OP. 7, NO. 2 IN A MINOR
Introduction
As Michael Klein has observed, The mazurka is a curious multiplicity.80 This is
because it is not one dance but three, each of which is defined by differing tempos or individual
patterns of accentuation. In his article entitled Mazurka, Stephen Downes distinguishes the
three dances by their tempi. He explains, The fastest is the oberek or obertas, a rapid whirling
dance for couples; the mazurka itself (or mazur) is somewhat slower but still of lively character,
while the kujawiak is a dance of more moderate tempo, with longer phrase lengths.81 Chopin
biographer Aleksander Poliski attempted to distinguish the three dances by their specific
patterns of accent. For instance, he identified the kujawiak, a folk dance that comes from the
Cracow region of the Kujawy province, with its main stress fall[ing] on any part of the fourth
measure.82 This would concur with Downes description of longer phrase lengths. Poliski
described the oberek, which originated in the Mazowsze region, as a dance that accented the
last part of the second measure.83 The placement of strong accents in alternating, rather than
successive, measures may suggest a faster tempo. If so, this would again agree with Downes
definition. But for the earliest recorded folk dance, the mazur, which stems from the Polish
region of Mazovi, Poliski provides an elusive and arbitrary description stating, accents in the

80

Klein (2012, 238).

81

Downes (2013).

82

Quoted in Swartz (1973, 30).

83

Ibid. (31).

40

mazur can fall according to the imagination of the composeron any part of the measureand
any number of accents can fall in each bar.84
Whereas Poliski was unable to provide a fully satisfactory description of the mazur,
Kleins depiction of this dance form offers further clarification. He explains, A dotted rhythm
on the first beat may appear in a mazur . . . [and] a strong accent may land on the third beat or on
the second beat.85 What is not clear is if this accentual pattern occurs in successive or alternating
measures. Perhaps it may be both. While the differences between the dances are subtle, as we
shall see, the characteristics of each dance can aid a performer in understanding and interpreting
the rhythmic impulses and formal designs of Chopins Mazurkas. Moreover, the rhythmic
patterns and patterns of accents implicit in these dance idioms correspond to Lussys theory quite
well.
In her dissertation, The Mazurkas of Chopin: Certain Aspects of Phrasing, Anne
Swartz identified two of the three dances in the Mazurka in A Minor, Op. 7, No. 2, as shown in
Example 2.1.86 The opening section of the Mazurka begins with a dotted rhythm on the first beat
of m. 1, which drives to an agogic accent on the downbeat in m. 2, creating a 2-bar grouping. For
Swartz, these features simulate the characteristics of a mazur. Measures 41-44, according to
Swartz, resemble a kujawiak. This is apparent since it employs a pedal tonewhich leads to a
strong dynamic accent in the fourth measure of the phrase. The longer bar grouping undermines
the secondary accent that falls on the first downbeat of each 2-bar group. This kujawiak is

84

Swartz (1973, 28).

85

Klein (2012, 240).

86

Swartz (1973, 134).

41

a. 2-bar groupings in the opening, mm. 1-4 (mazur)

b. 4-bar grouping in the B section, mm. 41-44 (kujawiak)

Example 2.1: Chopin, Mazurka Op. 7, No. 2: two types of Polish dances

distinct because of its lucid musical boundary from the mazur before and after. Furthermore, its
expressive melody is written in fs minor (the relative minor of the parallel major).
The challenge in performing this Mazurka is not in simply identifying the individual
dances, but rather in considering various ways to shape the timing and dynamic of each rhythmic
grouping within the Mazurka, and then determining how to create an expressive interpretation
based on each sections accentual pattern. By understanding how Chopin varies the rhythms and
accentual patterns within various phrases and smaller units, we can formulate alternative ways to
connect and to perform short segments and how to shape their successions into convincing larger
designs.
42

Literature Review
David Beach, in his Advanced Schenkerian Analysis: Perspectives on Phrase Rhythm,
Motive and Form, provides us with an analysis of Chopins Mazurka in A Minor, Op. 7, No.
2. In this analysis, Beach focuses primarily on the Mazurkas linear patterns and musical form,
providing an in-depth discussion of its first section, mm. 1-32. Essential to Beachs analysis of
the Mazurkas linear formation is his observation of neighboring figures. He notes that the
Mazurka begins with a double neighboring figure that embellishes the Kopfton, as shown in
Example 2.2.

Example 2.2: Chopin, Mazurka: Schenkerian voice-leading graph from Beachs analysis,
mm. 1-4

As Beach has observed, a most striking feature of Chopins Mazurka is the melodic
descending linear progression of a fourth in the antecedent phrase, followed by a descending
linear progression of a fifth in the consequent phrase. As illustrated in Example 2.3(a), Beach
regards the restatement of the Kopfton in the beginning of the consequent phrase, as the result of
an interruption. Example 2.3(b) illustrates a chromatic descending linear progression appearing

43

a. Descent of the Urlinie in the antecedent phrase, mm. 1-8

b. Sequential progression leading to the reprise; outer voices in parallel tenths, mm. 21-25

Example 2.3: Chopin, Mazurka: graphs adapted from Beachs analysis

under a sequential progression in mm. 21-24, preparing the reprise. As the outer voices progress
to the restatement in m. 25, they move in parallel tenths on successive downbeats. Lastly, at the

44

beginning of the reprise, Beach acknowledges, for the first time, the upper neighbor introducing
5 is given consonant support.87
In a paper entitled A Different Reading for the Same Music, read at the 1993 annual
meeting of the Music Theory Society for New York State, Edward Laufer discussed essential
motivic patterns that he discovered in the Mazurka in direct succession or over larger spans of
the music.88 Example 2.4 demonstrates how the opening neighboring motive in mm. 1-2 (F-D-FE) is immediately restated down a step lower in mm. 3-4, resulting in a rhythmically transformed

Example 2.4: Chopin, Mazurka: motivic analysis of the antecedent phrase adapted from
Laufers analysis, mm. 1-8
87

Beach (2012, 113).

88

A discussion of this analysis is found in Yip (2010, 22-3).

45

variant (D-B-D-C). Laufer claims that as the phrase reaches its cadence the neighboring figure is
transformed, overlapping itself into a dense pattern of motivic repetition.89
Laufer further argues that the motive reappears in the b section in mm. 16-21, this time as
a chromatically altered variant, as shown in Example 2.5. Laufer asserts that the implied e5 at the
cadence of m. 16 is carried over into the following phrase, creating an expanded version of the
motive ((E)-C-Ef-D). He identifies this gesture as a prolongation of 5the initial note of the
Urlinieover the b section, mm. 17-24. This expansion proceeds to its upper neighbor, 6 in m.

Example 2.5: Chopin, Mazurka: motivic and prolongational analysis of the b section adapted
from Laufers analysis, mm. 15-25
89

Yip (2010, 22-3).

46

25, for the beginning of the restatement. In m. 18, the d5 begins another variant of the motive
(D-Bf-(D)-Cs), this time involving an octave displacement and an implied note.
Whereas Beachs analysis discusses the descent of the Urlinie (5-4-3-2-1), Laufers
reading calls attention to a motivic descending linear progression of a fourth in mm. 1-4 (6,5,43). Beachs linear progression connects members of the tonic triad, each of which is given
harmonic support, while Laufers motivic reading identifies a secondary progression that is not
part of the fundamental structure. It begins on f5 and moves into an inner voice. Although the
linear progression in the soprano line, F-E-D resolves to C in bar 4, Laufer argues that this
descending pattern is previewed in mm. 1-2, involving motion into an inner voice and an implied
note, as shown in Example 2.6.

Example 2.6: Chopin, Mazurka: motivic analysis of the opening gesture adapted from
Laufers analysis, mm. 1-4
A chromaticized variant of the motive (F-E-Ef-D-Cs-D) appears in the tenor voice in the
sequential progression at the end of the b section, mm. 21-24, as shown in Example 2.7. Laufers
point here is that this inner voice (like the succession of F-E-D-C in mm. 1-4) is not structural
but involves dissonant neighbor and passing tones. He maintains that these motivic parallelisms

47

provide the Mazurka with musical coherence, helping us to better understand and appreciate
specific characteristic[s] of Chopins music.90

Example 2.7: Chopin, Mazurka: Laufers analysis of the tenor voice in the b section, mm. 2125

Analysis
Building on Beachs study of the Mazurkas linear formations and Laufers ideas of
motivic parallelism, my discussion begins by addressing individual aspects of the composition
that relate to matters of expressive performance. The formal structure of the Mazurka is a ternary
scheme, consisting of ABA1. The A section (mm. 1-32) involves a rounded binary designa
principal theme (referred to below as a1)that is, a 16-bar antecedent-consequent priode, an 8bar bridge (b) and a restatement of an 8-bar version of the opening theme (a2). The B section
(mm. 33-56) is in the parallel major key (A major) and its relative minor (Fs minor), also
displaying a rounded binary design, followed by a da capo repetition of mm. 1-16, as shown in
Example 2.8.

90

Yip (2010, 23).

48

Example 2.8: Chopin, Mazurka: outline of the form

Throughout the opening section, agogic accents occur in all even-numbered measures.
The antecedent phrase, furthermore, beings with a non-tonic harmonythe subdominantand is
preceded by 5 as an unharmonized upbeat. This withholding of tonic harmony in the first
measure sets up an opposition between harmony and meter. As Carl Schachter has observed, this
denying [of] metrical emphasis to the governing harmony . . . [sets up a] lack of correspondence
between metrical accent and tonal structure.91 Thus, the delayed tonic, and the regular
periodicity of influential accents, may suggest hearing the even-numbered measures as strong,
creating a suggestive rhythmic fluidity in the Mazurka.
The regularity of 2-bar groupings suggests a corresponding organization of 4- and 8-bar
groupings. The accents of initiation (initial icts) occur in odd-numbered measures while agogic
accents occur in even-numbered measures (final icts). Typically, a 4-bar hypermeasure begins
with a strong stress, suggesting a beginning-accented rhythmic grouping. Chopins agogic
accents in the even-numbered measures, however, suggest an end-accented rhythmic grouping
thus contravening normative alternation of strong and weak pulses in a typical hypermeasure. In
91

Schachter (2004, 99).

49

his book, The Time and Music, Jonathan Kramer addresses this very issue of accentuation in a
hypermeasure. He explains,
There are three basic schemes that have been proposed for the relative accentual strength
of the four measures of the normal four-bar [hypermeasure]: 1. strong-weak-weak-strong
2. strong-weak-strong-weak [and] 3. weak-strong-weak-strong[.] The first scheme is
favored by Edward Cone, Peter Westergaard, and William Benjamin. The second is
preferred by Carl Schachter and Wallace Berry. The third, the suggestion of Hugo
Reimann, is explored by Arthur Komar. Fred Lerdahl and Ray Jackendoff offer a
valuable discussion of the problems inherent in each reading . . . These three possible
readings of a four-bar [hypermeasure] differ from each other fundamentally. I would not
argue that any of the three ideas is unequivocally useless, but rather that they depend on
different understandings of accent.92
Lussys tripartite classification of accents will help clarify the differences between metric and
rhythmic structures that interact in the Mazurka. These issues of alternative accentual patterns
will be explored more fully later in the analysis.
I begin the analysis by identifying various dance idioms and rhythmic patternsregular
and irregularthat help shape an expressive performance. I then consider several aspects of the
Mazurkas tonal implicationsstructurally significant arrivalsallowing the performer to
decide which to project. In closing, I will compare and contrast the B section to the opening
section, discussing various ways a performer may produce satisfactory ways to unify the work,
and to realize Chopins nuances.

Rhythmic and Tonal Implications in the A section

While there are opposing viewpoints regarding nineteenth-century tempo rubato,
rhythmic flexibility, undeniably, is an intrinsic part of performing the music of Chopin. This is
evident from testimony by individuals who where fortunate enough to hear Chopins playing.
Berlioz, for instance, took special interest in noting Chopins sense of rubato, stating his
92

Kramer (1988, 84-6).

50

interpretation is shot through with a thousand nuances of movement of which he alone holds the
secret, and which are impossible to convey by instructions.93 More specifically, in Chopins
performance of the mazurkas, Charles Hall observed, a remarkable feature of his playing was
the entire freedom with which he treated the rhythm.94 Comments such as these imply that
Chopins ability to create a coherent expressive and dramatic effect in his music may have been
achieved by varying the basic rhythmic patterns. In a similar fashion, we must assess various
ways in which we can shape the incises, the rythmes, and the large-scale rhythmic and metric
organization of the phrases and sections.
Of particular interest in this Mazurka is the dance rhythm of the mazur, which Swartz
identified as a pattern with the strong accent falling in the second measure of each 2-bar
grouping. Determining the rhythmic shape of the opening period is an important first step in
achieving an expressive rendition. Let us begin by focusing on the ways in which we can vary
the treatment of the motives on the first beats of the odd-numbered measures. Ultimately, this
will determine how we perform the agogic accents in the even-numbered measures, allowing us
to consider various ways of shaping the 2-bar incises as beginning-, middle-, or end-accented
rhythmic groups. Example 2.9 reproduces the opening incise in the antecedent phrase. The initial
impulse of the phrase is an upbeat leading to a dotted rhythm on the first beat, which Klein
acknowledges as another characteristic . . . [of] a mazur.95
Both the upbeat and the first beat occur without harmonic support. It is only when we
hear the incises note of resolution that we can retrospectively identify the first beat in m. 1 as an
93

As quoted in Eigeldinger (1986, 71).

94

Ibid. (72).

95

Klein (2012, 239).

51

Example 2.9: Mazurka, A section: tempo and dynamic variations in the opening incise of the
antecedent phrase, mm. 1-2

upper neighbor to 5, which receives tonic support in m. 2. For Lussy, the upper neighbor note is
an exceptional event that requires the expressive accent especially if it falls at the beginning of a
rhythm.96 Moreover, Lussy would also assign this upper neighbor note an accent mtrique and
an accent rythmique, since it occurs on the first beat of the measure and coincides with the first
strong beat of the incise. The agogic accent in m. 2, however, marks another expressive event
that may override the accent in m.1, according to Lesters definition of durational accents. He
explains,
not all accent-producing factors operate with equal importance. Some factors by
themselves can produce a more powerful accent than several other factors
combined . . . [e.g.] accents that are produced by . . . duration are more deeply embedded
in musical structure than accents produced by other factors.97
Lussy, similarly, would identify the first beat of m. 2 as an expressive accent not only
because it is a suspended note, but also because of its longer durational value. Like Lester, Lussy
96

Lussy (1885, 140).

97

Lester (1986, 40-1).

52

believes agogic accents represent an intentional and very great increase of power.98 Thus, we
might consider slightly stretching the first beat of m. 1that is, playing the upper neighbor note
with an accent pathtique followed by the application of a mouvement passionnel, directed
toward the agogic accent in m. 2, where a slight slowing might be observed. Rubinsteins 1932
recording displays this exact effectby elongating the first beat slightly, he makes the initial
impulse of the phrase sound like the beginning of a section, even without harmonic support.99
Another alternative is to consider the same approach in m. 1, but this time without the
rallentando. Henryk Sztompkas 1955 recording of this Mazurka maintains a fairly steady tempo
in m. 2, enhancing the feeling of triple time.100
As Laufer has indicated in the second incise (mm. 3-4), a similar neighboring figure is
heard a third lower. This motivic repetition, along with its single phrasing slur over two
measures and its crescendo and decrescendo pairing, helps the listener hear a continuation of the
established accentual pattern of 2-bar groupings, inviting the performer to articulate a rendition
similar to that of the first incise. While the second incise resembles the first in several waysthe
left hand rests on downbeats, the strong agogic accent in the melodythere are, however, crucial
differences. This unit lacks an upbeat, and its fleeter and more decorous melody moves with
greater urgency toward the focal pitch D on the second downbeat. Notice that in the first incise
the pitch F is sounded six times between the treble and bass clefs, while in the second incise the
pitch D is sounded six times as well.

98

Lester (1986, 130).

99

Rubinstein (1932).

100

Sztompka (1955).

53

When both incises are combined together to create a rythme, the performer can voice the
accompaniment chords in the left hand in a such way as to project the secondary linear
progression of a fourth (F-E-D-C), which Laufer identified. By slightly bringing out this linear
motive in the accompaniment, the pianist can enliven the texture while reinforcing the descent of
the top line. This builds further tension just before the arrival of the tonic triad in m. 4, with its
low a2 on beat 2, and helps to define the rythmes rhythmic shape. The appearance of this lower
register is a dramatic addition to the accompaniment. A registral accent, according to Lester, can
produce a strong sense of accentuation or help shape the rhythmic design. He explains, even in
nonimitative passages, or in passages that are not truly contrapuntal, the accents caused by the
entrance of new components of the texture can be quite important to the overall rhythm.101 It is
also important to observe the change of texture and the change of articulation that Chopin has
written in the accompanimental figures (see Example 2.10). By changing the left-hand
articulation markings from portato to legato, Chopin is inviting the performer to play the attacks
in m. 4 more smoothly, and perhaps, even more importantly, to slightly stretch the meter before

Example 2.10: Mazurka, A section: shaping of the first rythme, mm. 1-4
101

Lester (1986, 30).

54

reaching the note of resolution in the melody. This can be justified since the first important
change of pattern in the accompaniment involves a leap, creating additional space. Interestingly,
in the consequent phrase, Chopin delays this change of pattern until its sixth measure (m. 14)
rather than its fourth measure. Conceivably, this may suggest an increase of forward motion in
the consequent phrase.
In mm. 5-8, the incises established accentual pattern of 2-bar groupings continues.
However, its phrasing, harmonies, and tempo fluctuation introduce a more flowing and unified
line that Lussy would view as evidence that suggests organizing the unit into four measures
rather than two. A comparison of the first rythmes melody to that of the second is illustrated in
Example 2.11. Note that neither of the incises in the second rythme begins with an upbeat or
involves a non-harmonic tone on the first beat of the even-numbered measures (mm. 6 and 8).
This subtle distinction suggests a different plan of pacing. Whereas the first rythme may involve

a. First rythme, mm. 1-4

b. Second rythme, mm. 5-8

Example 2.11: Mazurka, A section: melodic comparison of the first two rythmes

55

a slight separation between mm. 2-3, as there is a change of harmony over the barline, the second
rythme may not, because Chopin allows the harmonic continuation in mm. 6-7. Further evidence
for a 4-bar grouping is reinforced with Chopins slurring and reversal of melodic contour (mm.
6-7). As suggested in Example 2.11(b), the reader may try experimenting with the pedaling by
not releasing it between mm. 6-7. The resonance of the pedal, consequently, will naturally
increase the volume and intensity of the phrase.
The second rythme begins with an eighth-note triplet figure on beat 1 of m. 5, followed
by three quarter notes that lie under a single slur over the bar line, as shown in Example 2.12.
This phrasing suggests forward momentum as the line ascends. An agogic accent on beat two
occurs for the first time in m. 6 under the E minor harmony, which leads to a stretto marking
indicated by Chopin in m. 7. Whereas the agogic accents of mm. 2 and 4 were non-harmonic
tonesa suspension and an appoggiaturathe agogic accent in m. 6 is consonanta chordal
skip. It no longer resolves down by step, thus breaking the pattern of the sigh motive.
Although it does have consonant support, Lussy believes agogic accents require great force,
resulting in an increase of tempo, especially when they are syncopated.102 This notion of
accelerating is reinforced by the harmonythe tonic chord of m. 6 leads to a cadential six-four
chord through the first two beats of m. 7and by the change of contour in the accompanimental
figures in mm. 5-6, where Chopin places the low bass notes on beat three instead of beat two,
pressing more forcefully towards their approaching downbeats. The arrival of the E minor
harmony on beat one of m. 8 helps unify the rythme as a whole by serving as a local harmonic
goal. Furthermore, the agogic accent in m. 6 (e5) reiterates the original melodic note of the
Mazurka, again pressing the line forward. This is reinforced by the registral shift of the rythmes
102

Lussy (1885, 130).

56

a. Shaping for a 4-bar grouping

b. Shaping for 2-bar groupings

Example 2.12: Mazurka, A section: shaping of the second rythme, mm. 5-8; two possible
readings

high point (e5) to the cadential arrival (e4). Lastly, the pivotal chord in m. 5 suggests a double
functionon one level, the continuation of tonic harmony, and on another level, the
subdominant in the minor dominant key. The latter would imply a harmonic progression in the
bass involving scale degrees 4-5-1 in the key of E minor; again suggesting the possibility of a 4bar grouping rather than two.

57

Hearing the second rythme as a continuous 4-bar unit is one possible reaction a performer
may have to Chopins phrasing and accent markings. The harmonic parallelism between the two
rythmes, however, may suggest another option. In both rythmes, the harmonic scheme involves a
predominant-tonic-dominant-tonic progression, the first one in the key A minor and the second
in the key of E minor, as shown in Example 2.13. To highlight this parallelism, a performer may
choose to shape both rythmes similarly. Whereas in Example 2.12(a), I suggested grouping the
second rythme into a single, uninterrupted 4-bar phrase, another possibility is to emphasize the
salient group boundaries of each incise, producing a pacing that involves a breath between mm.
6-7, as heard in mm. 2-3 (see Example 2.12, b). By taking time to reach up to the e5 in m. 6 and
slightly lengthening its duration, this intensifies the momentum of the phrase as it reaches the

Example 2.13: Mazurka, A section: the harmonic scheme of the antecedent phrase, mm. 1-8

58

downbeat of the following measure. The lingering on this note is quite expressive and will cause
a slight stress on the downbeat of m. 7, allowing the listener to hear well-defined 2-bar
groupings. Rubinsteins rendering of this passage has exactly this effect. He elongates the agogic
accent in m. 6 and then pushes forward across the bar line. His performance timing conveys a
grouping structure in which the harmonic progression of mm. 5-8 explicitly produces a sense of
temporal division into clear 2-bar units. Ultimately, a performer may choose to alternate between
2- and 4-bar groupings in subsequent repetitions of this passage.
By grouping the second rythme into a 4-bar unit, the antecedent phrase becomes a typical
sentence constructiona grouping of 2+2+4. Like the antecedent phrase, the consequent phrase
is rhythmically shaped by its agogic accents, conveying the salience of its smaller groups. These
agogic accents create a regular pattern throughout the entire A section in which the evennumbered measures receive greater emphasis. This notion is reinforced by the tonal arrivals that
occur in the even-numbered measures, which can convey a release of tension.
While the consequent phrase is similar to the antecedent phrase in terms of its accentual
pattern, it does display a different plan of pacing as a result of its harmonies. It involves a
harmonic progression that tonicizes the key of the Neapolitan, followed by a textural break in
both the melody and accompaniment, as shown in Example 2.14. Though it is not uncommon to
find the Neapolitan chord in a mazurka, it is less common to find its key as a goal of motion. In
m. 12, Chopin substitutes a VI chord in lieu of the expected tonic chord. Unlike the imperfect
authentic cadence in m. 4, this deceptive cadence creates no real sense of repose. It forms a bass
line that moves towards the Neapolitan (VI to V7/ fII to fII). The deceptive cadence provides the
impetus for a varied repetition for the end of the first rythme. Whereas mm. 3-4 entailed a slight
breath, separating mm. 4-5, the lack of change in the bass in mm. 12-13 creates forward motion

59

a. No caesura in mm. 12-13

b. Brief caesura in mm. 12-13

Example 2.14: Mazurka, A section: harmonic scheme for the end of the consequent phrase,
mm. 12-16

to the downbeat of m. 14. Even though Chopin calls for a rallentando in m. 13, the bass notes of
mm. 12-13 prevents a clear separation, as indicated by the arrow below the staff in Example
2.14(a). Naturally, the deceptive cadence can create a slight relaxation, allowing a performer to
choose to articulate a brief caesura at the end of m. 12, as shown in Example 2.14(b).
Measure 14 is an important event similar to m. 6 where the emphasis of stress can be
shifted to beat 2. In m. 14, Chopin mimics the agogic accent in m. 6 by marking a fermata over a
quarter-note rest, stopping the harmonic momentum in a dramatic way. In general, f2 has a
strong tendency to move downward by step, which the Mazurka does in fact achieve. The
60

melodic motion in the passage follows standard voice-leading proceduresthe diminished third
is filled in by a passing tone (f2-1-s7). Although Chopin breaks the voice-leading momentum
with a fermata, the interrupted progression does not impede the eventual succession of fII to V7.
The emphasis of the voice leading is still heard, particularly since Chopin placed it in the top
voice. Aldwell, Schachter and Cadwallader explain that when the Neapolitan sixth chord goes
directly to the dominant, The diminished 3rd, even when filled in, often makes for a peculiarly
intense melodic line, especially when it occurs in the soprano.103 Therefore, even though
Chopin writes a fermata on the third beat of m. 14, the voice leading involves a continuous line,
but dramatically broken by the chordal skip to d5 and the protracted rest, making the ending of
the consequent phrase sound like a unified 4-bar unit. To highlight this expressive moment,
special attention by the performer is required.
The silence of the fermata heightens the drama in a noticeable way. And the performer
must retain and project the voice leading of the soprano in such a way so that the listener will
understand the function of the Neapolitan chord as a chromatically altered intermediate harmony,
which can only be appreciated in retrospect. Chopins skillful integration of a fermata over a rest
creates the effect of surprise. The surprise, however, is relatively weak since it precedes an
immediate return to the tonic key, indicating that the Neapolitan chord is of a predominant
function rather than a cadential goal. What is imperative in the consequent phrase, apart from the
voice leading, is that the pianist should sense the enormous expressive potential conveyed by the
tempo contrastpoco rallentando in m. 13 followed by an a tempo in m. 15and the dynamic
contrasta crescendo/decrescendo pairing that continues through the silence. These contrasting
elements, along with the voice leading, coordinate a design that allows the performer to choose
103

Aldwell, Schachter and Cadwallader (2011, 538).

61

between shaping the consequent phrase into shorter 2-bar segments or into larger 4-bar segments.
By segmenting the phrase into 4-bar groups, the plan of pacing will accelerate through the
fermata, allowing the voice leading to govern the momentum. This strategy is suggested only for
the first statement of the priode. In Rubinsteins performance, with each repeat, the span of the
fermata lengthens, so that the da capo entails the most dramatic rendition.
As mentioned earlier, Chopin creates the pattern of weak-strong metric organization from
the very start of the Mazurka by producing agogic accents on the even-numbered measures.
Another striking feature that affirms the weak-strong pattern is the deliberate avoidance of the
tonic harmony on the first measure of the work. In an effort to understand Chopins non-tonic
beginnings, in a similar passage (from Chopins Mazurka Op. 24, no. 3), Schachter suggests the
possibility of hearing m. 1 as an upbeat to m. 2. He explains, After all, the feeling of forward
movement into the tonic of the second bar does give [the first full bar] something of the feeling
of an upbeat. 104 As Example 2.15 demonstrates, all of the tonic chords in the A section fall on
even-numbered measuresmm. 2, 4, 10, and 16 in the key of A minor, and mm. 6 and 8 in the
key of E minor. Measures 12 and 14 involve important arrivals as well, briefly tonicizing the key
of the Neapolitan.
This regular pattern of essential tonal arrivals, combined with melodic agogic accents,
invites the listener to hear the even-numbered measures as strong. However, I hear m. 7 as strong
because of its forte and stretto markings. Likewise, m. 15 is given additional stress following the
fermata as a result of the a tempo indication. Since the overall pattern of weak-strong metric
organization has been so firmly established in both the antecedent and consequent phrases, we
experience the downbeats of mm. 7 and 15 as structural syncopation. This suggests that while the
104

Schachter (2004, 99-101).

62

Example 2.15: Mazurka, A section: harmonic scheme of the priode, mm. 1-16

63

metrical and hypermetrical layout is obvious, there are other kinds of accentuation and patterning
that play off the regular grid. Odd measures will carry metrical and hypermetrical stress, because
they initiate the larger groups of measures. The even-numbered measures, however, involve
agogically accented melodic notes and harmonic goals that create expressive accents. Example
2.16 examines more closely the opening sections shape of the rhythmic form, as a result of these
accents.
When shaping the opening A section of the Mazurka, the first concern of the pianist
should be to maintain the musical flow as a single unit without minimizing the salience of the
smaller groups. Each of the phrases within this periodic structure involves a length of eight
measures. Likewise, each phrase can be grouped into four 2-bar units, two 4-bar units, or an
entire 8-bar unit. As Example 2.16 illustrates, the grouping boundaries are symmetrical
according to tonal, thematic, and dynamic criteria.
The prevailing pattern of weak-strong bar groupings is disrupted in mm. 7 and 15. This
jarring change interferes with the trajectory of the established accentual pattern, creating strong
stresses where we are expecting weak ones; thus causing syncopation. Lussys theory tells us
that such a change will cause the performer to react expressively, and depending on the treatment
of the passage, allow the performer to display a different plan of pacing. On the one hand, by
lengthening the fermata, a performer can create a long enough sense of breath that the
syncopation is weakened. On the other hand, the chromatic voice leading in the soprano (f2-1-s7)
needs to resolve in order to conclude the phrase. Rubinstein places a very small crescendo
through m. 15, slightly stressing the downbeat of m. 16. This helps maintain the musics
temporality of weak-strong metric organization, specifically when repeating the A section or
moving forward to the B section. It is only in the da capo repetition that he acknowledges the

64

a. Measures 1-8

b. Measures 9-16

Example 2.16: Mazurka, A section: degrees of accentuation at the 2-, 4-, and 8-bar levels of
the priode, mm. 1-16

65

downbeat of m. 15 as a stronger stress than the downbeat of m. 16. This allows the sorrowfully
imploring motive of m. 15 to fade into interminable silence, ending the dance.

Rhythmic and Tonal Implications in the Second Part of the A section, mm. 17-32 and in the
B section, mm. 33-56
Like the A sections opening theme, mm. 17-32 involve two 8-bar phrases, in which
agogic accents fall, at first, on the even-numbered measures. As the arrows in Example 2.17(a)
reveal, the accentual pattern is undermined beginning in m. 21. In mm. 17-20, the melodic
agogic accents combined with the bass motion and the alteration of harmonic dissonance and
resolution, continue to project the pattern of weak-strong metric organization so firmly
established in the a1 section (mm. 1-16).
Beginning in m. 21, Chopin initiates a sequential progression that leads from bf5 to f5 for
the beginning of the reprise in m. 25. As Example 2.17(b) demonstrates, the outer voices of the
passage move in parallel tenths with equal emphasis on successive downbeats. This change of
accentuation affects the overall pattern of directed motion within the phrase and at the beginning
of the a2 section (m. 25), as shown with the degrees of accentuation at the 2-, 4-, and 8-bar levels
in Example 2.18.
As Laufers analysis indicates, an imperfect authentic cadence in the key of the
subdominant (m. 25) is the goal of tonal motion in the b section. Laufers graph suggests that the
phrase has been extended beyond its basic length not only because it generates a strong cadence
but also because it allows the prolongational span of 5from the initial note of the Urlinieto
proceed to its upper neighbor 6 on the downbeat of m. 25 (see Example 2.5). This is further
reinforced with the parallel tenth motion in the outer voices that begins on the downbeat of m. 21
and continues through the downbeat of m. 25. The symmetrical phrase rhythm established in the

66

a. Agogic accents in the b section, mm. 16-25

b. Harmonic reduction of the bridges b section, mm. 17-25

Example 2.17: Mazurka, A section: accentuations caused by agogic accents in the bridges b
section, mm. 16-25

67

a1 section is now threatened because of this elided cadence. It creates a phrase extension that
produces an irregular grouping of five measures rather than four (see Example 2.18). Lastly, by
avoiding the expected half-cadence in the key of the tonic, and by briefly tonicizing the key of
the subdominant, Chopin undermines the overall tonal structure, whimsically obscuring the
return of the principal theme. Chopin has willfully contradicted the expected harmonic scheme.
To maximize this effect, a pianist may consider several options, as discussed below.

Example 2.18: Mazurka, A section: degrees of accentuation at the 2-, 4-, and 8-bar levels of
the b section in the bridge, mm. 17-25

While listening to the opening a1 section, we are likely to experience the even-numbered
measures as hyper-downbeats that define metrical consonance, with m. 15 introducing a mild
syncopation.105 As the bridge continues to reinforce this pattern, m. 21 conveys an intense
metrical dissonance, destabilizing the repetition and creating syncopation. Lussy views
syncopation as a force that destroys the metric accent and thereby threatens the established
metric pattern.106 According to Lussy, the stress that the performer employs in delivering
105

Krebs (1999, 2003 and 2004).

106

Doantan (1997, 155).

68

syncopation is the manifestation of his inner struggle to retain the regularity of metric accents
against this destructive force.107 Therefore, Lussy would view this moment of rhythmic
irregularity as reason to apply a powerful accent pathtique. The bf5 is a pathtique event not
only because it distorts the rhythmic pattern but also because it is the highest note of the work
thus far and it breaks the contour pattern established in the previous measures. Consequently,
Lussy would recognize this moment as a forceful source of nuance since its structural
components shape the overall flow of the phrase. Lussy would draw attention across the entirety
of the passage by a single acceleration/deceleration gesture while accentuating each downbeat, as
shown in Example 2.19 (the application of Lussys expressive markings are indicated above and

Example 2.19: Mazurka, A section: application of Lussys accents pathtiques and nuances,
mm. 16-26
107

Doantan (1997, 155).

69

below the staff or in parentheses). This sudden increase of tempo heightens the effect of the
syncopation in this passage, and the additional accents on the downbeats of mm. 22-24 create a
sense of grouping within the melodic line.
The intensification of this moment invites a performer to consider at least two other
alternatives, as shown in Example 2.20. In Rubinsteins rendition, he begins an accelerando
earlier in the phrase and then maintains a fairly strict tempo starting at m. 21, while stressing the
high note to allow the bf5 to sound syncopated within the established grouping structure.
Similar to Lussys suggested application, Rubinsteins also stresses each of the agogic
accents on the downbeats of mm. 21-23. Rubinsteins choice to begin the acceleration in mm.
19-20 suggests a reaction to the continuous tonal motion created by Chopins harmony and
voice-leading. In mm. 17-18, Chopin sets up an expectation of an augmented sixth chord
resolving to a dominant chord in the key of C minor. The melodic repetition continues in the next
2-bar unit but with a different harmony in m. 20the G chord is now replaced with a Bf
dominant-seventh chord in third inversion. The dissonance in the bass voicethat is, the seventh
creates a sense of forward motion, making it harmonically active in its context. Furthermore, the
reharmonized setting of m. 19 (ef5 to d4) is a surprise. The alto line initiates a chromatic descent
that begins in m. 18 and moves through m. 24 (G-Fs-Fn-En-Ef-D), further reinforcing the notion
of forward momentum. This creates a sense of impulse that must be released; hence, the
acceleration. Ashkenazy, however, displays a different plan of pacing in his 1996 recording. He
too accelerates in mm. 19-20 but undermines the syncopation by creating a sense of breath
immediately before reaching the peak of the phrase, choosing to stress the high note not with
weight but with time.108 In his rendition, Ashkenazy refuses to stress the downbeats in mm. 21108

Ashkenazy (1996).

70

a. Rubinsteins rendition

b. Ashkenazys rendition

Example 2.20: Mazurka, A section: expressive shaping and pacing in Rubinstein and
Ashkenazys recorded performances, mm. 16-26
71

23. Instead, he treats the entire melodic contour as a single, legato phraseas Chopin has
indicated with his slur markaccentuating the smoothness of the melodic line. Contradicting
Lussy, neither Rubinstein nor Ashkenazy accelerates at the high point of the passage or
decelerates as the phrase reaches it end.
The shift of emphasis to odd-numbered measures in the b section (mm. 17-24) creates a
conflict with the return of the principal theme at the beginning of the a2 section (m. 25). Since
mm. 9-16 and 25-32 are parallel (except that the f5 in m. 25 is now given consonant support), the
weak-strong hypermetric organization that was securely established in the a1 section will
continue in the b section. The projection of the hypermetrical dissonance in m. 21, however,
prevails through m. 25, making the beginning of the reprise as a metrically strong event. As the
phrase unfolds, this creates a sense of conflict given that the agogic accents in the evennumbered measures override the odd-numbered measures. Even more so, the tonic harmony does
not return until m. 26, leaving the listener to wonder about the importance of the elided cadence
in m. 25. As Example 2.21 illustrates, one possible way of handling this dilemma is to consider
lengthening the first beat of m. 25 with a tenuto to articulate the beginning of the new 8-bar
group (rather than stressing it dynamically), then playing the second and third beats slightly
faster, and finally stressing the downbeat of m. 26 while decelerating into beats two and three.

Example 2.21: Mazurka, A section: expressive shaping for the return of the principal theme,
mm. 21-26
72

Note that this reading continues the rallentando from the sequential passage through the
downbeat of m. 25.
In the opening phrases of the B section (mm. 33-40), Chopin continues the weakstrong metric organization at the 2-bar level. Note that its periodic structure is truncated (see
Example 2.8). The antecedent and consequent phrases are four measures each, with the
consequent phrase (mm. 37-40) functioning as a rhythmic variation of the antecedent phrase
(mm. 33-36). These two phrases resemble chamber music in that each voice is similar to a
melody played on a stringed or wind instrument, requiring its own individual expressive shaping.
The bass line, for the first time in the Mazurka, involves a single, legato melodic line that
demands sensitive treatment. Each three consecutive quarter notes are slurred together, initially
as an ascending gesture (D-E-A) in mm. 33-34, then as circular descending motion (E-A-D) in
mm. 34-35. These three-note motives are stated three times with each impulse beginning on the
third beat of each measure. While a singing legato touch is needed throughout the passage in the
bass line, a slight non-legato touch is used for the upper voices in the treble staff. Moreover, the
beginning of each slurred group in each staff accentuates different beats of the measures (beat
one for the treble staff and beat three for the bass). To further enhance the polyphony in this
section, Chopin notates a legato slurring in the bass against a portato articulation in the treble in
mm. 37-40, as shown in Example 2.22. The challenge for the pianist is in achieving evenness and
a perfect coupling of the hands while maintaining rhythmic precision. The performer must be
careful to show that the left-hand entrances on the third beats of the measures are not downbeats.
One possibility of interpreting this passage smoothly is to create a decrescendo/crescendo
pairing that directs the energy of each motive to its final note, accentuating beat two rather than
beat three in each measure. At the 2-bar level, we can increase the dynamic level slightly so the

73

Example 2.22: Mazurka, B section: expressive shaping and articulation in the a1 section,
mm. 32-40

left-hand motive that leads into the even-numbered measures generates more energy than the one
that leads into the odd-numbered measures. Simultaneously, Lussy would advise the performer
to add a slight accent mtrique in the soprano voice at the beginning of each 2-bar unit, creating
an impulse that sets the unit in motion. Chopins accent markings on the third beats of m. 37 and
m. 39, however, reinforce the playful feeling of the scherzando and may undermine the accents
mtriques. Still, in my own playing, I emphasize the accents mtriques more emphatically. This
allows the melodic line to rise to a more intense declamation, producing a discordant expression
rather than lyrical. A stronger stressan accent pathtiquewould occur on the longer notes of

74

the even-numbered measures. By directing all the voices dynamically to beat two of the evennumbered measures, we can convey a very clear grouping structure that is no longer undermined
by Chopins independent slurring marks, similar to Ashkenazys rendition. Note that the same
dynamic contrast at the 2-bar level (the rythme) can be replicated at the 4-bar level (the
hemistiche).
In his article Beyond the Dance, Adrian Thomas describes the traditional folk ensemble
of central Poland as follows:
. . . a melody instrument (the violin played in first position on the upper strings, or the
fujarka, a high-pitched shepherds pipe) plus an instrument or two to provide a drone
(lower open strings on the violin, or the dudy or gajdy, a Polish bagpipe) and/or a
rhythmic pulse (the basetla or basy, a string bass played unstopped).109
Such a texture occurs in the Fs minor passage of the B section, mm. 41-48. Here, Chopin
sets in motion a trajectory that articulates a pattern that is governed by a strong-weak metric
organization, accentuating the odd-numbered measures for the first time in the Mazurka. The
persistent open fifth drone over a pedal point produces an impulse that sets each 2-bar rythme in
motion, emphasizing 4-bar units. Chopins accent markings, however, complicate the matter by
suggesting a different segmentation. An accent mark is notated on the downbeats of mm. 42, 44,
and 46 in the tenor voice (cs4), and sforzando markings are notated on the second and third beats
of m. 44, followed by a ritenuto marking in mm. 47-48. These stresses weaken the strong-weak
metric pattern produced by the open fifth drone, invoking end-accented rather than beginningaccented rythmes. In Rubinsteins rendition, he reinforces the end-accents rythmes by adding a
crescendo in each 2-bar unit, reaching the climax of the phrase at the end of the second rythme
(m. 44), as illustrated in Example 2.23. In this passage, as a result of the doublings between the

109

Thomas (1992, 154).

75

Example 2.23: Mazurka, B section: tempo and dynamic variations in Rubinsteins

performance, mm. 41-49

soprano and tenor voices, a pianist will certainly have a choice on which voice to bring out more
emphatically. Chopins accent markings specifically located above the tenor line and not above
the soprano line, are inviting the pianist to experiment with various ways of voicing this passage,
in which the tenor line may at times override the soprano line.

Conclusion
In this chapter, I discussed several issues that pertain to creating an expressive
performance in Chopins Mazurka in A minor, Op. 7, no. 2. The analysis noted that Chopin
articulates a pattern that is governed by a weak-strong metric organization throughout the A

76

section and for most of the B section. The agogic accents on the even-numbered measures work
against the odd-numbered measures, which initiate the larger bar groupings. The performer
should take special care to accentuate the subtle play between and across the groupings of these
structures. In mm. 13-16, Chopin does not end the passage with a continuation of the same
established pattern. Instead, he interrupts the phrase with a fermata that introduces an a tempo
stress on an odd-numbered measure. By breaking the accentual pattern, Chopin creates a mild
syncopation that sets in motion a new trajectory and creates an uncertainty. Measures 21-25
initiate a sequential pattern that impedes the weak-strong metric organization that has largely
prevailed up to that point, projecting a strong metric dissonance. Moreover, it does not lead to an
anticipated half-cadence. Instead, it is composed of an apparent elision that briefly tonicizes the
subdominant in m. 25, reintroducing the principal theme with its non-tonic chord. In the B
section, Chopin notates independent, opposing legato slurs in each staff, whose beginnings
emphasize different beats within the same measures. Finally, in mm. 41-48 a change of phrase
rhythm occurs through the use of an open fifth drone and pedal-point that appears to alter the
weak-strong metric organization that prevails throughout most of the Mazurka. Chopins
expressive markings, however, conflict with this reading, demonstrating a variety of levels of
hierarchical grouping structure that might be expressed in performance.
To conclude the ternary structure of the Mazurka, Chopin returns to its opening periodic
structure (mm. 1-16). The da capo serves as an opportunity to summarize many of the Mazurkas
essential features. It is here where performers should use their creative license to highlight and
intensify many of the tonal and rhythmic connections discussed in the analysis. To produce a
temporally coherent and convincing rendition of the work, a broader tempo should be applied in
order to make the final restatement the most dramatic musical gesture in the Mazurka. The da

77

capo must counteract the drive of the contrasting middle section and to gradually decrease all of
the musics inherent tensions.

78

CHAPTER THREE
CHOPIN PRELUDE OP. 28, NO. 17 IN Af MAJOR
Introduction
In his discussion of hypermeasures in Romantic music, Edward T. Cone contends that
hypermeasures are often irresistibility drawn into a regular four-measure pattern. And as a
result of this mundane arrangement, Cone resolves, it is here . . . [in Romantic music] that we
can justly speak of the tyranny of the four-measure phrase.110 For Cone, The composer who
really absorbed, digested, assimilated, and nourished himself on the four-measure concept was
Chopin.111 While many of Chopins compositions, according to Cone, are quite conspicuous in
their regularity at higher metric levels, other compositions by Chopin, however, exhibit the
same pattern firmly in control, yet concealed with a subtlety that mitigates the hypermeter
without violating it.112 We have already seen examples of seemingly simple successions of 2bar, 4-bar, and 8-bar groups revealing extraordinary complexity and subtlety. Another
sophisticated treatment of concealing the prevailing 4-bar phrase with subtle deviations can be
found in the two sequential episodes of Chopins Prelude Op. 28, no. 17 in Af major, and herein
lies potential for an effective and expressive performance.
Aside from the hypermetrical disturbances, other issues that are potentially problematic
to a performer studying this work concern the three radically different presentations of the
principal theme that make up the Preludes rondo-like structure. The pianists most immediate
challenge in understanding this small form is in controlling the varied repetitions of the principal

110

Cone (1968, 79).

111

Ibid. (80).

112

Ibid.

79

theme while projecting the nuances that make them independent of one another. A further
challenge for the performer of this Prelude lies in the local events of the two sequential episodes.
Unlike the three statements of the principal theme, they are not varied repetitions of the same
music. Each sequential episode involves different music. That is, they contrast not only with the
principal theme, but also with each other. The aim of this chapter is to explore the various
similarities and differences between the statements of the principal theme, and between the two
contrasting sequential episodes, in order to present the performer with interpretative decisions
concerning the many local features of each section. Subsequently, the chapter addresses how the
sections relate to one another and some ways to project such relationships. As with previous
chapters, I discuss analytical and expressive issues concerning choices a performer will need to
make to create an expressive and convincing interpretation based on Lussys theory.

Analysis
The Preludes formal structure is a rondo involving five sections and a coda (A1 B1 A2 B2
A3 and coda). The work begins with a two-bar introduction and concludes with a seven-bar coda.
The beautiful song-like quality of the Prelude oscillates between the harmonically uncomplicated
statements of the principal theme in Af major and more agitated and unruly harmonies in the
contrasting episodes. Throughout the Prelude, however, each section maintains a similar chordal
accompanimental texture. Example 3.1 charts the rondo form and its main key areas. The
analysis begins with a brief discussion addressing significant differences between the three
statements of the principal theme. Each time the principal theme occurs, Chopin indicates a new
dynamic marking. The manner in which Chopin distributes the notes between the hands
demonstrates that his thinking was guided by procedures of voice-leading and polyphony. In

80

Sections

Intro.

A1

B1

A2

B2

A3

Coda

Measures

1-2

3-18

19-34

35-42

43-64

65-84

84-90

Af

E to Ef

Af

Af

22

20

14 + 8

8 + 12

4+3

Keys

Af

Af

A to E to
vii7/V in Af

Number of
measures

16

16

8+8

8+8

Phrase
groupings

Example 3.1: Chopin, Prelude No. 17: outline of the form

performing this Prelude, it is essential that Chopins dynamic markings and independent voices
be distinctly realized in all three occurrences of the A sections. The first four measures of each A
section are reproduced in Example 3.2.
In the opening A1 section (mm. 3-18), Chopin introduces a parallel periodic structure that
involves a half cadence in m. 10 and a perfect authentic cadence in m. 18. The section begins
softly and eventually reaches a forte climax at the beginning of the consequent phrase (m. 11).
Although no further dynamic markings are indicated within this section, a performer, ultimately,
will have a choice on how to end the sectioneither to continue with a forte dynamic or to
judiciously pace a decrescendo near the end of the section. If a decrescendo were desired, then
where?
Considering that the symmetry of Chopins rhythmic grouping in the A1 section is
consistent throughoutthe incises are occurring at the 2-levels, the rythmes at the 4-bar levels,

81

a. A1 section, mm. 3-6

b. A2 section, mm. 35-38

c. A3 section, mm. 65-68

Example 3.2: Chopin, Prelude: the dynamic markings for the first four measures of each A
section

the hemistiches at the 8-bar levels, and the priode at the 16-bar levelthen we can consider
shaping the dynamics in accordance with the smallest groupings, the incises. Rothstein refers to
the shape of each 2-bar unit in the Prelude as Ur-rhythm [which] consists of an upbeat, or

82

anacrusis, consisting of five eighth notes, starting just after the downbeat of one measure and
leading to the downbeat of the next.113 However, Chopin does not treat the end of each incise in
the same manner, as shown in Example 3.3.

Example 3.3: Prelude, A1 section: dynamic phrasing and tempo variations in the consequent
phrase of the A section, mm. 11-18

Measure 12 resolves a dissonant appoggiatura figure down by step while mm. 14 and 16
resolve a consonant figure up by step. Additionally, Chopin sustains the final note of the incises
in mm. 14 and 16 with ties, creating a dissonance on their subsequent downbeats. As a result of
the tension these rhythmic figures generate, Lussy would recommend greater force on the final
113

Rothstein (2005, 6).

83

note of each incise. In the consequent phrase (mm. 11-18), I find the second incise to be the most
expressive since its beginning involves the highest note of the phrase (bf5 in m. 13) and because
of the startling harmonic retrogression (V7 followed by IV) in m. 14. Following Lussys ideas,
the ascending endings of the second and third incises intensify the drama and should require a
crescendo/accelerando pairing. The final incise in mm. 17-18 creates a descending contour
leading to the cadenceLussy, I believe, would advise a decrescendo. He states, There must
be a decrescendo, and a diminution of sonority and vehemence in descending passages.114 A
diminuendo and a rallentando would seem quite appropriate in the final incise of the section, in
order to convey a strong sense of closure.
In Martha Argerichs performance of this Prelude,115 it is quite remarkable how her
tempo variations concur so meticulously with Lussys prescriptions. Argerich maintains a fairly
steady metrical state throughout the consequent phrase until its penultimate measure, where she
introduces an exaggerated rallentando. Furthermore, Argerich does not reach the forte dynamic
level until the second beat of m. 14, disregarding Chopins marking in m. 11. This interpretation
makes the second incise (mm. 13-14) the most dynamic. Another parallel with Lussy is that
Argerich treats each succeeding incise more softly, ending the section quietly. For the sake of
creating an even a stronger sense of closure, Rothstein, in his analysis of this Prelude,
recommends treating the repeated chords of m. 18 as an ending rather than an upbeat to the next
section, as Example 3.3 implies. He explains, I continue and even augment my cadential ritard
into the first beat of m. 19making this, in my performance, one of the slowest moments in the

114

Lussy (1885).

115

Argerich (1987).

84

Prelude.116 Of course, an alternative would be to place a caesura before the second eight-note in
m. 18 and then proceed with an accelerando to the downbeat of m. 19. This would give the
beginning of the first episode a sense of urgency, initiating a greater force of energy. This
recommendation applies to my own interpretation of the passage.
A significant feature of the Preludes melody is that longer rhythmic values occur
regularly on the even-numbered measures throughout the principal theme, creating a sense of
syncopation within the hypermetrical structure. Example 3.4 reveals the surface-level and
hypermetric-level accentuations of the first eight measures (mm. 3-10) of the antecedent phrase.
Note that the first two measures of the Prelude function as a 2-bar anacrustic figuration to the
first hypermetric downbeat (m. 3).

Example 3.4: Prelude, A1 section: degrees of accentuation at the 1-, 2-, and 4-bar levels,
mm. 3-10

116

Rothstein (2005, 29).

85

Rothstein refers to introductory measures that precede the first hypermetric downbeat as
elongated upbeats . . . [that] are not counted as part of any hypermeasure.117 Lussy, however,
would hear the first beat of m. 1 as initial ictus since it is a point of initiation that propels the
beginning of the Prelude forward. Nevertheless, the first complete phrase of the Preludes
principal theme encompasses eight measures. Although its 4-bar rythme (mm. 3-6), or
hypermeasure, securely establishes a pattern of weak-strong-weak-strong, according to Krebs,
hypermeasures must begin with a strong beat and end with a weak beat.118 Chopin, I believe,
defies this rule.
After the 2-bar introduction, df4 produces a strong stress against the ef2 in the bass on the
downbeat. As shown in Example 3.5, the true soprano voice does not enter until the second
eighth note of m. 3. One should experiment with various ways to project the voice leading
strands shown here on separate staves: I prefer to connect c4 to df4, rather than joining ef4 (the
apparent top voice) to df4, as would be more conventional in a part-writing exercise. This may
seem arbitrary at first providing that Chopin interlocks the hands, blurring the voice leading.
When notated on multiple staves, however, the identity of the lines becomes clear. It is only in
retrospect that a listener will understand the delightful ambiguity of the first harmonys function.
Chopin immediately destabilizes Af in m. 4 by placing Gf in the alto voicecreating a
dominant-seventh sonority that initiates a tonicization of Df. This produces the Preludes first
dominant to tonic resolution, only not in the tonic key. The subdominant chord (Df) is briefly
tonicized in mm. 4-5, providing a stress on the third beat of the hypermeasure, and reinforced in
m. 6, as shown in Example 3.6.
117

Rothstein (1989, 56).

118

Krebs (2005, 19).

86

Example 3.5: Prelude, A1 section: illustration of the texture and voice leading, mm. 1-3

87

Example 3.6: Prelude, A1 section: degrees of accentuation at the 1-, 2-, and 4-bar levels, and
voice-leading sketch of the antecedent phrase, mm. 3-10

Rothstein hears each 2-bar groupingthat is, the incisesconveying an articulation of

weak-strong. Similarly, each 4-bar grouping, or rythme, continues the identical pattern: weakstrong-weak-strong. But the initial ictus, regardless if we hear it in m. 1 or in m. 3, trumps the
agogic accents in the even-numbered measures, as shown at the 1-, 2-, and 4-bar levels in
Example 3.6. For Lussy, the lowest in his hierarchy of accents are the accents mtriques, while
the accents rythmiques and icts are next in importance. But the most independent and highest
amongst them are the accents pathtiques. Therefore, the agogic accents in the even-numbered
measures receive accents pathtiques, undermining all other metrical and rhythmical accents. By
following this design we create an accentual pattern of weak-strong-weak-strong. This produces,
however, a resulting monotony that dismisses the initial ictus. Rather than playing an unbroken
succession of weak and strong bars, which might become a bit too predictable, players should
88

experiment with ways to enliven the music by applying accents pathtiques at various points
such as the second beat of m. 6and allowing these moments to challenge the rhythmic and
metrical irregularity. Consider combining successions of weak-strong and strong-weak. In my
own playing, I articulate the initial ictus in m. 3 by stressing only on the low ef2 followed by a
slight crescendo in the melody to the downbeat of m. 4. This allows for successive stresses to
occur on two consecutive downbeats, but in two different voices. The initial ictus in m. 3
receives a demarcation as a result of its low bass entry while the melody in m. 4 receives an
accent pathtique, as a result of its longer duration (see Example 3.7). Furthermore, the fallingfifth sequence in mm. 8-10 will now receive a stress only at its beginning and ending, destroying
the pattern of alternation as articulated in Example 3.6.
These various dimensions of articulation are emphasized in each of the principal themes
restatements, supporting the notion of syncopated rythmes (or hypermeasures), considering that
the theme begins in m. 3 on a dynamically weak bar. The first downbeat in the A2 section carries
a strong dynamic accent, which supports the notion of the initial ictus in m. 3 (see Example 3.2,
b). And the first downbeat in the A3 section is heard over a tonic pedal harmony, reinforced with
a sforzando marking (see Example 3.2, c). As noted above, Chopins agogic accents in the evennumbered measures, however, create an accentual pattern that stresses the weaker beats of each
rythme, thus creating syncopation within each statement of the principal theme.
As in Chopins Prelude in A Major, Op. 28, no. 7 (see Chapter 1), an expressive
performance of this Prelude will not present each of the incises in the A1 section in the same
manner. Example 3.8 suggests various ways to shape the timing and dynamic of each incise. In
order to determine how to create a coherent and expressive progression for the section as a

89

Example 3.7: Prelude, A1 section: a second option for degrees of accentuation at the 1-, 2-,
and 4-bar levels, and voice-leading sketch of the antecedent phrase, mm. 3-10

whole, it is crucial for performers to consider such possibilities. Experiment with performing the
alternatives shown in Example 3.8.
In Example 3.8(a), the energy flows from a point of initiation, gently slowing as the
incise reaches its completion. A second possibility is to shape our performance by accelerating
into the second beat of m. 1, then slowing through the remainder of the incise, as shown in
Example 3.8(b). The middle-accented incise, Example 3.8(c), creates an acceleration to the
downbeat of the second measure followed by a slight rallentando. And finally, Example 3.8(d),
the end of the incise is the goal towards which the energy is directed. Again, one should
experiment with each of these possibilities in varied combinations. Some combinations will be
more effective than others; a thoughtful performer should be able to invent further alternatives.

90

a. Beginning-accented incise

b. Near beginning-accented incise

c. Middle-accented incise

d. End-accented incise

Example 3.8: Prelude, A1 section: three possible readings, mm. 3-4

While the beginning-accented incises (Examples 3.8, a and b) are legitimate choices, it is
the middle- and end-accented incises that are inherently implicit in the music. A phrase such as
the Preludes principal theme exhibits a tendency toward continuous forward motion.
Melodically, the theme feels as if it has arrived in m. 4, with bf4 resolving to af4. As noted above,
Chopin creates a certain ambiguity by turning the expected Af tonic chord in m. 4 into a
dominant sonority that continues to push forward. This gives the Prelude a sense of continuous
melodic fluidity, especially since the only authentic cadence in the tonic key does not occur until
the very end of the principal themes 16-bar priode.
As a result of this tonal uncertainty, a performer can consider alternative ways of pacing
each hypermeasure in this opening section. For instance, within the first hypermeasure (mm. 3-6)
91

a change of bass occurs once per measure, excluding m. 6, where it occurs twice; see the voiceleading sketch in Example 3.7. Chopin accelerates the harmonic rhythm in the second
hypermeasure (mm. 7-10) so that the second and third hyperbeats involve two different bass
notes. The faster harmonic rhythm increases the effect of forward motion in the second
hypermeasure, almost demanding an acceleration because of its fifth-related motion. As shown
in Example 3.9, the first incise (mm. 3-4) suggests an accelerando followed by an a tempo, while
the last incise invites an accelerando followed by a rallentando. The second and third incises
produce the greatest forward momentum of the phrase as result of their final notes, as mentioned
earlier. Thus, the first hypermeasure calls for a slight accelerando, leading to a slight caesura;
mm. 5-6 might be played with somewhat greater urgency. Lussy, I believe, would certainly
recommend that because the added bass notes in mm. 8-9 create additional chromaticism and
dissonancethat is, rich harmonies that call for accents pathtiques. Moreover, as mentioned
earlier, the falling-fifth sequence creates a momentum that impedes a caesura-like breath in m. 9;
thus, creating motion that connects the third and fourth incises. As the hypermeasure reaches its
end, a ritardando is indicated only to counterbalance the increased forward momentum. This
balancing an action with a counter-action is essential to Lussys theory. For Lussy, It is not
sufficient that the music has written into it an action; it must also incorporate its counterpart.119
Obviously there are difficult decisions to be made in interpreting this passage; however, a
sensitive performer should experiment with alternative articulations.
As in many rondos, the second occurrence of the principal theme, the A2 section (mm.
35-42), involves only a partial statement. In this section, Chopin repeats only the antecedent
phrase, ending on a half cadence. As noted earlier, Chopin increases the dynamic markings to
119

Green (1994, 205).

92

Example 3.9: Prelude, A1 section: variations of tempo in the antecedent phrase, mm. 3-10

fortissimo, thickens the texture of the accompanimental chords, and adds low bass notes (see
Example 3.10). Chopin does not indicate any further dynamic markings following the fortissimo
in m. 35. Consequently, a performer will need to decide whether this section should remain at a
constant dynamic level. Since this statement of the theme is contracted, it would be entirely
possible to maintain the fortissimo throughout the section so that there is an abrupt change of
volume beginning with the next section. This approach is quite effective and logical. However,
another desirable approach would be to imitate similar steps we took in the first A1 section, by
organizing and shaping the dynamics in relation to each of the incises, as shown in Example
3.10. Once again, the first two incises increase in dynamic level, with the peak of the phrase
achieved in the second incise, as a result of its highest notes. A rallentando is marked only at the
93

Example 3.10: Prelude, A2 section: dynamic phrasing and tempo variation, mm. 35-42

penultimate measure of the phrase, to provide a satisfying and definite conclusion. For Lussy,
The most common rallentando is that at the end of . . . expressive phrases.120
In the final part of the Prelude, Chopin creates a remarkably striking and intense melodic
and harmonic expansion of the expected structural tonic chord. The third and final statement of
the theme, A3 (mm. 65-84), is marked sotto voce and pianissimo, played over a tonic pedal. Each
of the eleven times the resounding low Af is heard (ten times during A3 and one time in the

120

Lussy (1885, 186).

94

coda), Chopin marks it with a sforzando accent. Thus far in the Prelude, Chopin pointedly
avoided sounding a tonic chord on a hypermetric downbeat. Once it is introduced, the tonic
prevails through the end of the Prelude. This suggests that the Af pitch in the bass in m. 65 is in
fact the final note of the Bassbrechung. However, the final tone of the Urlinie does not occur
until the downbeat of m. 84.
This unusual design is quite similar to the ending of Bachs Prelude in C major from the
first book of his Well-Tempered Clavier. In Fnf Urlinie-Tafeln, Schenker noted an essential
feature of this composition is that when the final tone of the Bassbrechung appears, it initially
supports V7 of IVthus avoiding the structural tonic triadand it begins a 4-bar cadential
extension.121 The Urlinie, according to Schenkers graph, does not descend to 1 until the final
measure of the piece, as shown in Example 3.11.

Example 3.11: Bach Prelude, C major, WTC Book I: adaptation of Schenkers graph from
Fnf Urlinie-Tafeln, mm. 32-35

121

Schenker (1933 [1969], 37).

95

Achieving tonic arrival in the bass, while delaying its arrival in the melody, intensifies
the drama and produces a sense of tension and distance as a result of the conflict between
harmonic and melodic forces. A performer can accentuate this conflict by providing a sense of
breath immediately following each sforzando bass note along with a progressively paced
deceleration through both the antecedent and consequent phrases. For Lussy, a breath along with
the sforzando marking would be acceptable since he considers all pedal tones as discords . . .
[that must be] imposed upon the ear by force.122 Furthermore, Lussy would argue that a
rallentando is necessary for the entire passage because it involves pedal-point.123
Chopin lengthens the consequent phrase of A3 with a 4-bar extension that incorporates
modal mixture, introducing the minor subdominant. The enharmonic equivalent of the pitch Ff
has already been introduced as a key area in both episodes, and its appearance now activates a
sense of remembrance from these earlier sections. When the melody from m. 79 was first
introduced in the A1 section, it was supported with a dominant harmony (m. 17). In m. 79,
Chopin reharmonizes the melody so that it now is supported with a Df minor chord. For Lussy,
this reharmonized melody demands a rallentando because it shifted from a major harmonization
to a minor one.124
Argerich, in her performance of this Prelude, drastically changes the tempo in this final
section.125 She begins the Prelude at approximately. = 88. At the beginning of the A3 section,
she is at roughly . = 66, and continues to slow in the manner described above. As Lussy would
122

Lussy (1885, 160).

123

Ibid. (193).

124

Ibid. (186).

125

Argerich (1987).

96

a. Phrasing and tempo variation in the first episode, mm. 19-24

b. Reduction of essential voices in the first episode, mm. 19-24

Example 3.12: Prelude, first and second episodes: reduction of essential voices in the
opening rythmes of each episode, including dynamics and tempo variations

97

(Example 3.12 continued)

c. Dynamic and tempo variations in the second episode, mm. 43-51

d. Reduction of essential voices in the second episode, mm. 43-51

98

suggest, Argerich projects the intensification of the modal mixture (mm. 79-84) by slowing the
tempo even further, making this passage one of the slowest moments in her performance. While
most performers try to keep a consistent tempo throughout the Prelude, the slower tempo at the
final section creates a dramatic and desirable effect.
The sequential episodes, as mentioned earlier, provide a necessary contrast to the opening
A sections, as well as with each other. Though there are striking differences between the
episodes, let us first examine the similarities between them. First, the piano texture remains
relatively consistent throughout the Prelude, and both episodes maintain similar rhythms but with
more active polyphonic lines in the inner voices. Note that the added tones of the tenor line in
mm. 19-24 are chord fillersthat is, they generate a voice that regularly doubles the baritone
line at the octave, reinforcing the sonority without creating the effect of an independent voice.
As the highest voice, and consequently most exposed, the soprano carries the main
melody. In my own playing of this passage, however, I treat the baritone line as an
interdependent counter-melody that has its own identity and character, equally important to the
soprano voice. The rising stepwise motion in the baritone provides an additional, and beautiful,
melodic quality to the texture that needs to be brought out (see Example 3.12). Lussy would
recommend accelerating through the baritones ascending line, since it enters on an offbeat,
creating a syncopated structure.126 Example 3.12 provides a reduction of the opening passage
of both episodes, including dynamic and tempo variation. An accelerando is suggested in the
second measure of each rythme (mm. 20 and 22) by emphasizing and accelerating through the
tenor line. The plan of pacing in Example 3.12(c) creates a 2-bar gesture of acceleration and
deceleration in the middle of each rythme.
126

Lussy (1885, 177).

99

A second similarity between the episodes is that they both begin with a common-tone
connection. The main connecting elementthat is, the common toneoccurs in the soprano in
first episode (see Example 3.13) and in the bass in the second episode (see Example 3.14). Both
progressions create a surprising effect and involve root movement down by major third. The
common tone at the beginning of the first episode is Af/Gs, moving from the tonic I chord to a
secondary V7 of the Neapolitan. At the beginning of the second episode, the connecting tone is

a. Common-tone connection accelerating into the first episode, mm. 17-20

b. Common-tone connection decelerating into the first episode, mm. 17-20

Example 3.13: Prelude, first episode: common-tone connection

100

a. Common-tone connection accelerating into the second episode, mm. 41-44

b. Common-tone connection decelerating into the second episode, mm. 41-44

Example 3.14: Prelude, second episode: common-tone connection

Ef/Ds, moving from the V of the tonic key to a secondary V7 of the fVI. If the last measure of the
A2 section is heard as strong, and the first measure of the second episode weak, the concept of
Schenkers 5-6 technique may seem appropriate (the 5-6 technique are oscillations of intervals of
5-6 between the outer voices that avoid parallelisms). In Schenkerian theory, the 6ths normally

101

appear on weaker beats than the 5ths.127 This reading coincides well with Lerdahl and
Jackendoffs Grouping Preference Rule 2a. They explain that when a note is repeated in a
rhythmic pattern of long-short, the longer note may be heard as a boundary between one group
ending . . . and one beginning.128 This would suggest that the A2 section may call for a decrease
of volume, as discussed earlier, but not softer than the beginning of the second episode.
As discussed earlier, at least two possibilities of pacing exist when beginning the
episodes. The first type places a breath immediately following the arrival of the tonic chord in m.
18. This allows the succeeding eighth notes in the measure to function as an anacrustic figuration
driving into the downbeat of m. 19, as shown in Example 3.13(a). An alternative possibility
would be to gradually decelerate through m. 18 so that the downbeat of m. 19 will act as a point
of initiation from which the energy flows, as shown in Example 3.13(b). One might consider
testing the various interpretations found in Examples 3.13 and 3.14 by adjusting the variables to
their own liking.
A third resemblance between the two episodes is the feature of a rising melodic sixth as a
distinct interval. In the first episode, the ascending melodic sixth is combined with an extended
parallel tenth motion between the soprano and bass in the first statement of the sequence (mm.
19-24), as shown in Example 3.15. This passage functions as a transition from a secondary
dominant to a locally tonicized E major chord (m. 24), which is the enharmonic equivalent of the
preludes fVI. The sequence transfers gs4 up an octave to gs5, by means of ascending diatonic
thirds (A major to Cs minor to E major). The second episode composes out the melodic interval
of a sixth, as shown in Example 3.12(d). Like the opening of the first episode, the second
127

Aldwell Schachter, and Cadwallader (2011, 314).

128

Lerdahl and Jackendoff (1983, 44-5).

102

a. Voice-leading reduction of the three 2-bar incises, mm. 19-24

b. Voice-leading reduction of the two 4-bar rythmes, mm. 43-51

Example 3.15: Prelude, first and second episodes: voice-leading reductions of the ascending
melodic sixths, mm. 19-24 and mm. 43-51

transfers b4 up an octave to b5 (mm. 43-51). A striking difference between the episodes,

however, is that in the first episode the sequential passage involves three 2-bar incises (mm. 19-

103

24; see Example 3.15, a), whereas in the second episode, the sequence involves a pair of 4-bar
rythmes (mm. 43-50; see Example 3.15, b).
Another similarity between the two episodes involves a reversal of melodic contour. In
the first episode, the rising tenths in mm. 19-24 are followed by descending tenths in mm. 24-27,
reinforcing its harmonic goalE major, as shown in Example 3.16(a). Chopin increases the

a. Measures 24-27

b. Voice-leading reduction showing reversal of contour, mm. 19-27

Example 3.16: Prelude, first episode: a descending whole-step progression and parallel
tenth motion, mm. 19-27

104

harmonic rhythm so that the bass line descends chromatically, changing harmonies on each beat
rather than each measure. Although this passage involves a chromatic descent, considering only
the chords on the downbeat of each measure reveals an overall whole step descent.
For Lussy, this descending harmonic progression calls for a slowing of tempothat is, a
mouvement passionnel. Lussy contends that a rallentando is quite natural when descending
groups follow . . . ascending ones.129 Even if the sequence were harmonically simpler and more
diatonic, an acceleration would undermine the expressivity of the polyphonic texture. Along with
the chromatic descent in the bass, each voice conveys a sense of falling motion that creates an
unavoidable decrease of velocity. Such internal coherence and motion would certainly be
expressed in a sensitive performance.
Example 3.17 provides a voice leading reduction of mm. 51-57. Soprano and bass notes
form a succession of descending sixths on the downbeats, while tenths are created on the
upbeats. Chopin reverses the melodic contour in m. 51 after reaching the highest note of the
passage.
As the melody descends, Chopin creates dominant to-tonic-relations in which the root of
each dominant chord descends by semitoneB7 to E, Bf7 to Ef, and A7 to Dbefore returning to
the cadential six-four chord in the key of the dominant (Ef). As a result of the dominant to-tonicrelations, a different approach to pacing is quite possible. By continuing the faster pacing of each
4-bar rythmeslowing only in m. 54 where Chopin thickens the texture and breaks the 6-10
sequential patternthe episodes accelerated rhythm creates a directional drive that enhances the
arrival of the forte cadential six-four chord in Ef major on the downbeat of m. 55.

129

Lussy (1885, 184).

105

Example 3.17: Prelude, second episode: descending sequential passage, mm. 51-57

The actual harmonic progression in each of the episodes is different: in the first episode a
sequence ascends by thirds and descends by step, whereas in the second episode, the sequence
ascends by step and descends chromatically. In both episodes, hypermetrical irregularity results
from a stretching or contraction of individual units, creating nonduple large-scale measures.130
A significant nonduple hypermeasure occurs in the middle of the first episode, mm. 24-26. The
opening of the first episode continues the principal themes dotted half note agogic accents on
the even-numbered measures. Although this phrase rhythm is regular throughout the opening A1
section, as mentioned earlier, Chopin breaks the pattern at the downbeat of m. 26, by failing to
produce the expected agogic accent. It is only when Chopin reintroduces the dotted half note
agogic accent over a stable harmony that the hypermetric downbeat is restored (m. 27). The
grouping structure of the first episodes initial eight measures does not divide into two equal
segments. Instead, Chopin stretches the first grouping into six measures, as the result of the
130

Krebs (2005, 15).

106

sequential parallel tenth motion, and contracts the second grouping to three measures, as a result
of the avoided agogic accent. Therefore, with m. 24 acting as an elision, the grouping divides
into two unequal segments (6 + 3), even though the phrase consists of eight measures. As Cone
has revealed, this type of hypermetric irregularity is precisely the kind of sophisticated treatment
that indirectly undermines the four-by-four design. And such hypermetric irregularities,
according to Krebs, can become a significant vehicle of musical expression.131 For instance,
this hypermetrical irregularity produces a new grouping structure for the remainder of the
episodein mm. 29-34 the odd-numbered measures are strong while the even-numbered
measures are weak. Chopin continues this pattern of strong-weak to the downbeat of m. 35
where the fortissimo climax coincides with the return of the principal theme. While this bar is
understood as a hypermetric downbeat, it is the downbeat of m. 36 that brings the melodic agogic
accent along with the resolving tonic chord. This retrospective reversal is very important. The
dramatic and dynamically accented tonic chord reestablishes the phrase rhythm of the opening
A1 sectionthe syncopated weak-strong metric pattern. A sensitive performance will need to be
cognizant of this critical reversal of accentuation.
The second episode begins in m. 43, which further qualifies as an initial ictusand is
further strengthened by the surprising enharmonic reinterpretation (accent pathtique). The
agogic accents at mm. 46 and 50 are sending one message, but intial icts in mm. 43 and 47 are
asserting another. As mentioned earlier, Chopin ties the downbeats of mm. 45 and 49. This
salient feature suggests 4-bar segments more strongly than 2-bar segments, as in the previous
episode. Likewise, there is thematic repetition that unmistakably occurs at the 4-bar level and not
the 2-bar levelChopin sequences the motive a step higher (compare mm. 43-46 and mm. 47131

Krebs (2005, 29).

107

50). The parallelism between the two rythmes suggests that the downbeats of mm. 43 and 47 are
both hypermetric downbeatssuggesting that m. 51 is also a hypermetric downbeat.
By accelerating the harmonic rhythm to two harmonies per bar and removing the
thematic repetition heard in the previous rythmes, the downbeat in m. 51 is another crucial
moment. In m. 51, Chopin reaches the highest note of the Prelude (bn5) and begins a reversal of
the melodic contour. Its downbeat receives an accent mtrique and accent rythmique (creating an
initial ictus) since it begins a new grouping (2 + 2 + 2). But more importantly, it also receives an
accent pathtique since it is a chromatic pitch and the highest note of the phrase. As a result of
these changes, Chopin creates a very strong and distinctive accentual shift on the downbeat of m.
51, correcting the hypermeasures to the normative structure of strong-weak-strong-weak. The
remainder of the second episode continues this pattern of segmentation in 4-bar units, excepting
only one hypermetrical dissonancea mini-hypermeasure in mm. 55-56. The harmonic factors
contribute the most to the impression that the two measures involve a contraction of the 4-bar
unit. Measure 55 is strong because of the unexpected forte cadential six-four sonority that
prepares the return of the home key dominant. On the downbeat of m. 57, an Eb pedal is initiated
and sustained for eight measures, preparing the return to the tonic key (Ab major), as shown in
Example 3.18. For Lussy, modulations [that] occur at the beginning or end of a rhythm,132 like
the rapid, chromatic inflections of m. 51-54, normally indicate an acceleration. Moreover, since
the voices in this excerpt move in different directions, Lussy writes that an accelerando should
occur When at the beginning of a rhythm, the melody and the bass move exceptionally, in
contrary motion.133 The accelerando is further reinforced because of the strong accent
132

Lussy (1885, 171).

133

Ibid. (174).

108

Example 3.18: Prelude, second episode and retransition: degrees of accentuation at the
surface level, mm. 43-64

pathtique on the downbeat of m. 51, as a result of it being chromatically inflected and the
highest note of the piece.
When the sequence breaks on the downbeat of m. 54, Chopin thickens the texture by
writing augmented sixth chords at the beginning and end of the measure. Lussy affirms that
augmented seconds, fifths, and sixths . . . must all be accented.134 For Lussy, the more parts
[that is, notes] there are in a passage, the greater must be its sonority.135 Therefore, unlike
previous phrases that have involved crescendo/accelerando pairings, m. 54 marks a point in
which a decelerando is combined with dynamic intensity. Lastly, the retransitional passage (mm.
57-64) introduces a chromatic inflection Cf. This modal mixture represents an important event in
the Prelude. After an apparent perfect authentic cadence in Ef major (m. 57), Chopin destabilizes
134

Lussy (1885, 146).

135

Ibid. (200).

109

the key through the play of chromaticism. Normally, a retransitional passage modulate[s] back
to the home key in preparation for the return of some previous opening material.136 While the
home key does return at the beginning of the A3 section (m. 65), nevertheless, Chopin creates a
strong sense of arrival in the dominant key.
Is this passage standing on the dominant? Or is it a progression that allows the key of the
dominant to function as a goal? When the key of Af major enters in m. 65, we may initially
consider it as the subdominant key of Ef major rather than a tonic key. The tonicized key of the
subdominant (Df major) was a purely a local function in the opening phrase of the Prelude (mm.
4-6). Chopins ambiguous harmonic scheme, however, is allowing the subdominant to take on a
role of structural importance, entering it into large-scale connections. Modulations to the
subdominant in a major piece can be mystifying. According to Aldwell, Schachter, and
Cadwallader, Composers have generally avoided modulating to IV early on [in a piece] . . . This
is because the tonic in major is also the V of IV; too much emphasis on IV as a key can upset
our sense of tonality, making us hear IV as I and I as V.137 Therefore, a most striking feature of
this Prelude is the functional ambivalence caused by the juxtaposition of tonic and subdominant
key areas. If performers consider the subdominant as a key at the opening of the final refrain,
then their response to the musical surface will certainly change. One obvious reaction is to feel a
slight weakening of energy, producing a stronger sense of tempo variation, rather than
momentum building from the natural tension of a dominant desiring to resolve to its tonic.
The final refrain is far more definitive and structurally significant than its previous
counterparts. Whereas in the opening A1 section, the tonic triad did not appear until its closing
136

Caplin (1998, 157).

137

Aldwell, Schachter, and Cadwallader (2011, 504).

110

cadence, in the final refrain, the low Afs are saturating and dominating the section. For instance,
an interesting feature at the start of the final refrain (m. 65) is that the dissonant Dffunctioning
as the seventh of the dominant chord is now absent. While it prevailed at the beginning of both
the A1 and A2 sections, Chopin now removes it, as it would cause dissonance with the pedal tone.
With its absence, a listener will certainly experience the harmonies (Af and Ef) as blurred. This
brief harmonic ambiguity will undoubtedly affect how performers will project the passage. If the
Ef harmony is functioning as a dominant, then naturally the shape of the progression will push
forward in order to reach its harmonic resolution, thus creating an end-accented incise. But if Af
is functioning as a tonic chord in m. 65, then a slight lingering on the low pedal tone would seem
feasible in order to reinforce the arrival of the tonic key, thus producing a beginning-accented
incise. Such choices need to be assimilated in the process of building an expressive
interpretation.
This analytical insight implies that a performers awareness of the contextual function of
each pedal tone can help determine how to shape this final segment, primarily in regards to the
amount of temporal stretching. Unmistakably, the pedal tones accentuate the first and third
pulses of each hypermeasure, while the agogic accents continue to pull the incises forward with a
different type of stress in the even-numbered measures. A pianist, therefore, may choose between
feeling the low pedal tones as points of gravitation towards or away from which the music flows.
This play of expansion and contraction may cause a slowing of tempo, allowing the final
statement to sound more tranquil and distant, as in Argerichs rendition. If a pianist chooses to
normalize the hypermeasure, by allowing the sforzandos to create beginning- rather than endaccented incises, then the agogic accents will merit less emphasis in dynamics and tempo
fluctuation. This is easily accomplished if short caesuras are placed immediately following each

111

sforzando, as mentioned earlier. If a pianist, however, decides to continue with shaping the
incises as end-accented units, creating a temporal conflict with the sforzandos, the caesura must
be placed right before the low bass notes. Such a rendition causes a dramatically different effect,
generating and sustaining momentum to the final melodic descent in m. 84. This penetrating
struggle in the final refrain allows a performer to make choices that explore different degrees of
rubato and nuances, seeking a balanced application that releases and weakens the kinetic impulse
from the earlier parts of the music.

Conclusion
In this chapter, I discussed several issues that concern creating an expressive performance
in Chopins Prelude in Af, Op. 28, no. 17. The analysis explored various similarities and
differences between statements of the principal theme. The second refrain is only a partial
statement while the third is subdued and played over a tonic pedal. Chopin specifies a new
dynamic marking with each statement of the principal theme but offers no further dynamic
indications. I suggested exploring various approaches to changing or maintaining the same
dynamics.
From the analysis, I observed that the rhythm of the Preludes principal theme creates an
accentual pattern in which agogic stresses occur in the even-numbered measures, creating a sense
of syncopation within its hypermetrical structure. I advised considering alternative ways of
pacing the incises and the hypermeasure within each refrain, allowing for various dimensions of
articulation.
In the third statement of the refrain, the final note of the Bassbrechung enters nearly
twenty measures before the final descent of the Urlinie, as a result of the tonic pedal extension.

112

This creates a sense of contrapuntal and harmonic tension heightening the dramatic effect of the
last refrain. Here I discussed accentuating and articulating this divergence by allowing a sense of
breath prior to each sforzando bass note coupled with a gradually deceleration through the entire
A3 section.
While I noted that the two episodes feature different music, offering a necessary element
of contrast within the Preludes rondo structure, I also observed many similarities. Each of these
similaritiesrelated textures, common-tone connections, the rising melodic sixth as a distinct
interval, a reversal of melodic contour at the peak of the each episode, chromatic descending
passages, and nonduple measure groupsprovides a performer with multiple opportunities for
expressive interpretations.
And finally, Chopins allows the subdominant to take on a role of structural importance,
producing an ambiguous harmonic scheme that blurs distinctions between tonic and subdominant
functions. The instability of the initial tonic key offers performers expressive prospects to
explore new realms of tempo and dynamic variation before returning to the original point of
departure.

113

CHAPTER FOUR
CHOPIN ETUDE OP. 10, NO. 3 IN E MAJOR
Introduction
The Etude Op. 10, no. 3 in E major is one of Chopins most beloved and celebrated
works. Unlike other Etudes of the set, its unusual tempo marking has been widely discussed.
Kazimierz Morski has noted that while It is natural for each performer to seek his or her own
path, frequently departing from the musical text . . . the Etude, Op. 10 No. 3 . . . is always played
at a slower tempo, at least in the opening section of the work, than ensues from the composers
metronomic indications.138 In Claudio Arraus 1956 recording, he plays the Etude at a
metronomic tempo of
of

= 60.139 Shura Cherkasskys rendition of the same Etude takes a tempo

= 50,140 while Lang Langs tempo is

= 46.141

In the original autograph, Chopin gave the tempo indication Vivace ma non troppo; in the
second autograph, this appears as simple vivace. Only the first edition indicates Lento ma non
troppo. Rudolf Steglich, in an essay from 1956, claims that it is quite possible that the vivace
marking is relating to the expressive character of the Etude and not the speed.142 He maintains
that the syncopations in the left hand support this notion, suggesting that performers have
frequently departed from Chopins written instructions as a result of this discrepancy. Similarly,
John Rink has observed that though this Etude is often considered a study of legato, he regards it

138

Morski (2004, 156).

139

Arrau (1956).

140

Cherkassy (1953-55 [1999]).

141

Lang Lang (2012).

142

Quoted in Rothstein (1989, 221).

114

as a study of syncopation.143 For Rink, the Etudes pervasive syncopations determine the tempo
and character of the work, making it the most important element in the A section . . . from the
level of [surface] detail to the level of form.144
Considering that an Etude often employs more than one technical or performance issue, I
interpret this Etude as a study of several musical featuresnamely syncopation, legato melody,
and polyphony. I argue that an understanding of each of these features, and Chopins means of
presenting them, is a necessity for delivering an expressive performance. The aim of this chapter
is to consider how each of these issues influences the musicrhythmically, melodically, and
harmonicallyand how performers can identify and choose among options that will promote
expressive delivery. Following a brief survey of several analyses of this Etude, I present my own
analysis, based upon the application of Lussys theories. The analysis considers both surface
details and deeper levels of structure, and aims to explore a range of interpretative possibilities.

Literature Review
In an interesting article from 1985, Jim Samson observes that the second section of the Etudes
simple tripartite form (ABA1) is precisely twice as long as its opening section.145 The method he
adopted involved counting the number of quarter-note beats within each section, as reproduced
in Example 4.1. Note that in Samsons analysis two elisions occurone in m. 62 and the other in
m. 70which explains why he counts 156 quarter notes as opposed to 154.

143

Rink (2004, 134).

144

Ibid. (131).

145

Samson (1985, 65).

115

a. A section, mm. 1-21.1

b. B section, mm. 21.2-62.1

c. A1 section, mm. 62.1-77

Example 4.1: Chopin, Etude Op. 10, No. 3: the measurement of main sections in quarternotes, adapted from Jim Samsons analysis

According to Samsons analysis, the principal climaxes in the Etudes first and second
sections also convey a sense of proportional equivalency. In the opening A section, the climax is
reached on the thirty-third quarter-note beat (the downbeat of m. 17), with the eight additional
quarter-note beats that follow closing the section (starting with the second half of m. 17 to the
downbeat of m. 21). In the contrasting B section, the climax is reached in m. 54, followed by
silencethe first and only notated caesura of the entire Etude. Samson observed that the latter
climax is reached after a total of sixty-six quarter note beats. In the immediately subsequent
measures, the retransitional passage (mm. 54-62.1) takes up an additional sixteen quarter-note

116

beats, closing the B section, while the A1 section is somewhat shorter than the opening refrain.
Samsons analysis thus suggests that the Etude can be experienced as a single distinct shape.146
In 2004, John Rink further developed this idea of the Etudes proportional design. He
expanded on Samsons findings producing a formal analysis with brief commentary on
performance issues. Rink points out that the syncopated rhythm at the quarter-note beat level
from the very opening of the Etude the sixteenth-eighth-sixteenth figureforms the
symmetrical ratio of 1:2:1, which replicates Samsons overall formal ratio (as shown in Example
4.2). While the reprise of the A section (A1) is slightly shorter than its counterpart, Rink says that
one could argue that it has the necessary weight to finish off the piece satisfactorily . . . thanks
[to the codas] temporal retractionrallentando and smorzando.147 Despite the slight temporal
discrepancy of the reprise, Rink maintains that the Etudes basic rhythmic shape permeates the
etudes entire form.
William Rothstein reiterates the significance of syncopation in the Etude in a publication
from 1989. Rothstein recognizes that while the syncopations across the bar lines cause a metrical
conflict in mm. 1-5, he argues for stressing the downbeats. He explained that the syncopation
within each quarter-note beat reappears at a larger level in the syncopations across the bar lines .
. . [and that] any perception of the stressed weak beats as downbeats vitiates the local rhythmic
tension generated by the syncopations.148

146

Chechliska (2004, 157) argues that obvious symmetries are not always clear with

Chopins music because he often deliberately undermines the feeling of symmetry.

147

Rink (2004, 130).

148

Rothstein (1989, 221).

117

a. Parallelisms (1)
form

A
33 + 8
1

>
B

A1

66 + 16

33

(1)

bar 1

b. Parallelisms (2)

Example 4.2: Chopin, Etude Op. 10 No. 3: sectional parallelisms adapted from Rink

Rothsteins reading was influenced by Schenkers discussion of the Etudes syncopated

bass motive in Free Composition. Schenker observed that the larger syncopations in the bass
generated the irregular 5-bar length of the opening phrase. By removing all of Chopins
syncopations, Rothstein provides a suggestive recomposition of the 5-bar phrase, as shown in

118

Example 4.3.149 His point here is to demonstrate that by normalizing the rhythm and eliminating
all syncopations, the expressive quality of the opening phrase is nothing like what Chopin wrote.
For Rothstein, as well as Rink, the effect of the syncopated rhythm shapes much of the music
and will ultimately influence many interpretative decisions a performer will make. Both
Rothstein and Rink insist that the syncopation must remain audible throughout the Etude.

Example 4.3: Chopin, Etude: adaptation of Rothsteins recomposition of mm. 1-5 as 4 bars

In 2008, David Temperley analyzed the Etudes metrical challenges, specifically the
accentuation of the downbeats in the opening section. He argued that the syncopations across the
bar lines make the meter ambiguous. Unlike Rothstein, he interprets the opening phrase as
conveying a trajectory in which weak beats are more stressed than downbeats. Temperley notes
the agogic accents and the suppression of melodic attacks on the downbeats of measures 2, 3,
and 5. Temperley writes,
Long melodic notes fall on even-numbered beats [weak beats] throughout; every even
beat carries a change of harmony, and most decisively, numerous measures (for instance,
measures 1, 2, 4, and 5) feature a harmonic change on the second beat but not on the
following notated downbeat.150

149

Rothstein (1989, 223).

150

Temperley (2008, 316).

119

To further strengthen his idea of an even-strong reading, Temperley searched for

additional evidence in the piece that supported his interpretation. Of particular interest is the
retransition (mm. 54-61). Subtle elements of metrical conflict can be found throughout these
measures. Temperley observed that although the main theme returns on a stressed downbeat (m.
62), tied notes in the melody or in the bass obscure the downbeats of mm. 55-59, while the weak
beats are continuously articulated in other voices.
Each of these analyses makes critical observations that are examined and developed
further in the following analysis.

Analysis
The formal structure of the E major Etude is ternary (ABA1) with a brief coda. The A
section is marked Lento ma non troppo, presenting a beautiful cantabile melody in the top voice.
It consists of a single parallel period of two phrases. As shown in Example 4.4, Chopin delays
the final tonic by expanding the consequent phrase to thirteen measures, thus creating a stronger
ending.

Abbreviations:
b.i. = basic idea
c.i. = contrasting idea
e.i. = expanded idea

Example 4.4: Chopin, Etude: grouping structure of the phrase units of the A section, mm. 121

120

As Rothstein and Rink observe, a special rhythmic feature of this Etude is the
syncopation that forms the accompaniment figuration at the beat level. This rhythmic motive
contributes significantly to the developing momentum of the piece. On larger levels, it expands
to the 1-bar figure which shapes the melody, and on even deeper levels, it governs the entire
form of the composition (as Rinks analysis has demonstrated). I begin the analysis first by
enumerating various ways in which the syncopated rhythm offers conceptual challenges to a
performer and considering interpretative possibilities of selected passages. I then consider
various aspects of the Etudes polyphony on small, medium, and large scales. In closing, I
investigate the works most problematic passages that are a consequence of the syncopation and
polyphony.
As in the previous analyses, I begin by isolating portions of the rhythms and considering
them apart from pitch. Next, I look more closely at the individual features of the composition,
studying its thematic design in conjunction with the rhythm and in connection with its linearharmonic structure. In so doing, I will likewise, at times, need to separate tonal events from their
rhythmic design.

Rhythmic Implications in the A section

We will begin by examining the opening passage, which is reproduced in Example 4.5.
Lussy might identify this 5-bar unit as a rythme. As noted above, the melody is highly
syncopated, stressing weak beats and avoiding attacks on the downbeats of measures 2, 3 and 5.
The inner voice has a continuous sixteenth-note figuration that oscillates between various chord
tones, and a persistent syncopated rhythmic figuration is written in the bass, occupying each
quarter-note beat.

121

Example 4.5: Chopin, Etude: opening 5-bar rythme, mm. 1-5

The complexity of Chopins rhythmic design becomes clear when each of the rhythms is
presented separately. In order to better understand the overall phrase structure, and how we can
articulate a coherent and expressive performance of it, we will begin with the smallest unit, the
ostinato in the bass. In its simplest form, shown in Example 4.6, this basic cell occurs at the 1beat level.

Example 4.6: Chopin, Etude: the basic cell at the 1-beat level

One might begin by tapping and speaking the rhythm in Example 4.6, repeating the figure
several times. An expressive performance of the Etude will employ a variety of nuanced versions
of the basic cellsome leaning forward, others holding back, some more urgent, others less. Let
us experiment with degrees of speed, duration, and volume so we can become familiar with
many options. For instance, one might try shaping the basic cell by very slightly lengthening the

122

eighth note and shortening the second sixteenth note. This creates a sense of energy emerging
from the end of the first cell towards the beginning of its repetition. Now let us try shortening the
first sixteenth note while lengthening the eighth note. This slight accelerando produces a strong
feeling of apprehension. Lastly, we can lengthen the duration of the first sixteenth note while
shortening the eighth note. This generates a sense of delay in the beginning of each cell, mildly
setting the gesture in motion. Of course, excessive use of any of these possibilities will lead to an
unmusical rendering. To invent an expressive performance depends largely on employing an
appropriate gesture at the right time, and creating a coherent progression over longer spans.
As Rothstein has observed, the syncopation of the basic cell at the quarter-note beat level
expands to the 2-bar level, as shown in Example 4.7. Repetitions of the basic cell create a 2-bar
unit, which on a deeper level produces an enlarged version of itself. Experiment with performing
the alternatives shown in Example 4.8. In Example 4.8(a), we shape the unit by thinking of
energy emerging from the beginning and accelerating gradually towards the end. In contrast, by
gently slowing towards the end, as in Example 4.8(b), we project a point of initiation that sets the
unit in motion. A third possibility, Example 4.8(c), we can accelerate to the third basic cell and
slightly slow down into the fourth, allowing the energy to flow to the units midpoint and taper
off at the end. Again, experiment with each of these possibilities in varied combinations. The

Example 4.7: Chopin, Etude: the basic cell expanded from the 1-beat level to the 2-bar level

123

a.

b.

c.

Example 4.8: Chopin, Etude: shaping the basic cell at the 2-bar level

melody of the entire opening rythme (mm. 1-5) is permeated by anacrustic rhythms that lead to
agogic accents on weak beats. In essence it consists of six anacrustic figures, five of which direct
motion toward the second beat. Notice that these figures gradually accumulate additional
sixteenth-note attacks, as the brackets indicate in Example 4.9. Lussy observed that anacrustic
rhythms generally direct energy toward a strong event. Chopins Etude begins with a classic
example

Example 4.9: Chopin, Etude: anacrustic rhythms for the opening rythme, mm. 1-5

124

As Rothstein has observed, such rhythms are often not experienced as being constant in
speed . . . [but rather] they accelerate.151 An expressive performance, however, would certainly
not consist of treating each of these figures identically. Despite the fact that anacrustic rhythms
inherently draw discernible shapesdirecting energy forwardstill, we can consider alternative
ways to shape the rythme as a complete unit. As in previous experiments, let us try tapping and
speaking the variations shown in Example 4.10. In Example 4.10(a), the end of the unit is the

a.

b.

c.

Example 4.10: Chopin, Etude: shaping of the anacrustic rhythms of the opening rythme, mm.
1-5
151

Rothstein (2005, 16).

125

goal toward which the energy flows. In Example 4.10(b), the energy flows from a point of
initiation, moderately slowing as it reaches completion. In Example 4.10(c), we shape our
performance by accelerating into the second beat of m. 3, then slowing at the end. Each of these
alternatives can be effective; a performer might well consider employing two or more of them in
a single performance.
The second rythme of the antecedent phrase begins in m. 6 with a new rhythmic figure in
the melodyeight sixteenth notes followed by an eighth note. This new figure is an expansion of
specific features of the opening rythme. Its shape can be regarded as a motivic variation of the
melodys anacrustic rhythmsa further extension of the successive accumulation of sixteenth
notes. Near the end of the A section, it becomes the chief rhythmic feature leading to the climax
(m. 17). Example 4.11 indicates four possible interpretations: to perform the sixteenth notes
straight without any use of rubato (see Example 4.11, a), to direct the energy towards the end of

a.

b.

(tempo guistono expressive alteration)

c.

d.

Example 4.11: Chopin, Etude: shaping of the second rythme of the antecedent phrase, mm.67

126

the figure (see Example 4.11, b), to begin with a strong impulse that gently slows (see Example
4.11, c), or to start with a slight accelerando that peaks at its midpoint and then takes a small
ritardando as the unit reaches its end (see Example 4.11, d).
A notable feature of this last variation is that the rhythmic design creates a sixteenth note
grouping of 2+4+2, duplicating the proportional design of the basic cell (a ratio of 1:2:1), as
shown in Example 4.12.

Example 4.12: Chopin, Etude: rhythmic augmentation of the basic cell in the second rythme
of the antecedent phrase, mm.6-7

Measures 9-13 are substantially the same as mm. 1-5, but mm. 14-16 are rich and
interesting in the ways they vary the rhythms of mm. 6-8. Chopin introduces new legato slurs in
mm. 14-15 and portato markings in m. 16. These rhythms, however, restore metrical equilibrium
by placing agogic accents on downbeats rather than on weak beats, driving the music toward the
powerful arrival at the climax. Chopin concludes the A section with an expansion that produces
another irregular grouping of five measures. The inner rhythmic organization of these measures
(mm. 17-21) bears much similarity to the opening rythme of the antecedent phrasea 5-bar
grouping featuring several anacrustic configurations. The graphs of Example 4.13 suggest
various ways in which one can explore gradations in velocity.

127

a.

b.

c.

Example 4.13: Chopin, Etude: shaping of the third rythme in the expansion of the consequent
phrase, mm.17-21

Tonal Implications in the A section

For Lussy, musical expression is generated by irregular and unexpected notes [that]
appear and break the regularity of the metrical accent, or destroy[s] the symmetry of the first

128

rhythmical design.152 To achieve an expressive performance, Lussy maintains that we have to

locate the notes and passages which most excite and impress the performer.153 In other words,
what leads to expressive performance is the effective rendering of notes and rhythms that are
thwarted or unexpected, generating a surprise. A crucial aspect of the opening rythmes grouping
and shape depends in part upon its tonal relationships. For this reason, let us now consider some
of the tonal features in the Etudes A section, focusing primarily on the local surprises.
The first local surprise we find is in mm. 1-2, the opening incise. What is unusual about
the incise is how the melody relates to the meter. Example 4.14 illustrates this phenomenon: e4

a. Middle-accented incise

b. End-accented incise

Example 4.14: Chopin, Etude: incise, mm. 1-2

152

Lussy (1885, 126).

153

Ibid. (4).

129

appears in the strongest position preceded by an anacrustic leap of a fourth, fs4 emerges on the
weak beat of m. 1, and gs4 occurs on the weak beat of m. 2.
If we return to Rothsteins recomposition of this passage in Example 4.3, we will observe
that the recomposition is bland and comparatively lifeless because the ascent by steps lacks
Chopins dramatically lengthened dominant harmony, which provides time for gs4 to function as
an upper neighbor to fs4. Note that each of these three tones (e4-fs4-gs4) is approached
differently. Likewise, Chopin articulates each feature of the incise with distinct markingsa
crescendo to the second beat of m. 1, a crescendo/decrescendo in the first beat of m. 2, and an
accent on the final note. We might characterize the incises shape as follows: one hears the first
downbeat as softly stressed since it is the first accent mtrique, a slightly stronger agogic accent
on the second beat of m. 1 with its longer duration preceded by a crescendo marking, and the
strongest stress on the final note because it is an accent rythmique, a goal toward which the
incises energy is flowing. It also involves an articulated accent by the composer. All the
intervening tones are relatively weak in relation, except of course the slight
crescendo/decrescendo marking Chopin provides for the duration of beat 1 in m. 2. Still, this
event should not be stressed as much as the weak beats of mm. 1-2 as they involve longer
durations. Notice that this impression does not depend upon Chopins markings: it would occur
even if the rhythm was presented without any articulations.
To make any passage expressive, a performer will need to be sensitive not only to its
dynamics but also to its timing. Each strong stress is preceded by an anacrusis and each anacrusis
expands by one tone. The combination of these anacrustic figurations, together with the tied note
to the downbeat of m. 2, generates at least two possibilities: a middle- or an end-accented incise.
The middle-accented incise produces an increase of forward motion to fs4, followed by a

130

decrease of energy to gs4. Since Lussys theory proposes that every action must balance itself
with a counter-action, this would suggest a slight accelerando in the second beat of m. 1
followed by a rallentando in the first beat of m. 2. The end-accented incise creates a continuous
flow of motion to gs4. This option allows the energy to continue to build towards the climax of
the phrase in m. 3. An expressive performer should consider using the middle-accented incise in
mm. 1-2 while implementing the end-accented option in mm. 9-10. Lastly, the entire opening
rythme (mm. 1-5) employs a continual succession of distinct, closely unified anacrustic rhythms,
creating an impression of metric instability and agitated drive to the last note of the phrase, as
noted above in Example 4.14(b). The unusual length of the opening rythme, coupled with its
strong closure (a perfect authentic cadence on beat 2 of m. 5), certainly delivers another surprise.
The 2-bar succession initiated by the incise will now be compromised and challenged by the
asymmetrical grouping of the 5-bar rythme. A fascinating aspect of the rythme is that its shape is
governed by the basic cell at the 2-bar level. Each time a bass note is repeated over the bar line
(creating larger syncopations), Chopin accordingly sustains the melody and inner voices over the
bar lines (see Example 4.15). Furthermore, as Example 4.15 illustrates, the ratios that define the
basic cell at the 2-bar level creates an inversion of basic cell at the 5-bar level (4:2:4). There are
four quarter notes in mm. 1-2, followed by two quarter notes in m. 3, and again four quarter
notes in mm. 4-5. Consequently, the pervasive syncopation of the basic cell is occurring at the
beat level, the 2-bar level, and the 5-bar level. To highlight this rhythmic motive, in my own
playing, I accompany each change of pitch in the bass with a pedal change. Despite Hugo
Goldenzweigs recommendation of changing the pedal on each beat,154 I suggest not changing

154

Goldenzweig (1987, 160).

131

Example 4.15: Chopin, Etude: harmonic syncopations of opening rythme, mm. 1-5

the pedal over the bar line unless the bass note changes. This approach produces a richer tone
and lends emphasis to the syncopated changes of harmony.
The basic cell at the 1-bar level produces a temporary displacement of stress within each
measure, resulting in an obscuring of metrical boundaries, rather than a complete
reversal of metrical relations. This gives rise to a lucid yet irregular phrase length whose
underlying structure could be described as a latent and varied organization of an amphibrach
rhythmic grouping (

). Moreover, a Schenkerian perspective reveals that the melodic

line shows that it is built of a single motivic elementa stepwise rising third (see Example 4.16).

Example 4.16: Chopin Etude: germ cell within the opening incise, mm. 1-2
132

We will refer to this ascending line as the germ cell. The germ cell sheds much light on the
works otherwise evasive rhythmic structure.
Measures 1-4 set up an expectation of a normative 4-bar phrase that would typically lead
to a half-cadence. Chopin, however, rhythmically augments the basic cell figure to create an
irregular grouping of five bars, as discussed above. This asymmetrical unit establishes a
harmonic rhythm of one chord per two beats throughout the rythme, except for the dominant
chord on the second beat of m. 3 and the tonic chord on the first beat of m. 4, which both involve
only one beat per chord. Interestingly, where the harmonic rhythm accelerates (mm. 3-4), Chopin
interrupts the continuity of the germ cell introduced in the incise by leaping up to cs5, producing
another syncopationthe highest note of the phrase is heard on a weak beatand then
immediately descending from the melodys high point back to fs4 through a falling sixteenth-note
passage (see Example 4.17, a). Ordinarily, the conventional form of a 4-bar unit arriving on 2 is
supported with a half cadence, which has a strong association with the antecedent function.155
Chopin, instead, harmonizes 2 with a V7 chord in m. 4 and augments its duration to two beats,
which leads to a perfect authentic cadence on the second beat of m. 5. The surprise is, first, that
Chopin does not make a half cadence in m. 4, and second, that the extra measure creates a neat
balance between the first half of the phrase (which comprises a Schenkerian Anstieg), yielding a
structure. Since the authentic cadence in m. 5 arrives on the second rather than the first
beat, its function is emphasized as a temporary and not very strong goal. Nevertheless, as in the
Prelude in A major (see Chapter 1), the early authentic cadence affects closure for the entire
antecedent phrase, as it is the strongest cadential moment in the passage.

155

Caplin (1998, 14).

133

a.

!
!
b.!

Example 4.17: Chopin, Etude: melodic syncopations of the opening rythme, mm. 1-5

Although the climatic point of the rythme (cs5) is rhythmically linked to the agogic
accents in the incise (fs4 in m. 1 and the gs4 in m. 2), contrapuntally it contrasts with all other
agogic accents of the rythme. That is, fs4 and gs4 are harmonized with consonant support, while
cs5 functions as an appoggiaturaits resolution is b4 over the V7 chord. In addition to
accelerating the melodic and harmonic motion, Chopin increases the energy of the climax by
setting the climactic tone as a dissonance. Moreover, the motivic relationship of the dissonant cs5
resolving to the consonant b4 forms a rhythmic augmentation of the previous neighboring figures
(gs4fs4 and a4gs4), as shown by the brackets in Example 4.18(a). For Lussy, the highest note of
a group requires an accent pathtique, especially if it involves a higher auxiliary note.156 The
156

Lussy (1885, 140).

134

neighbors (ds4, gs4, as4, and cs5)like the anacrustic rhythmsgrow progressively longer:
. Example 4.18(b) draws attention to the fact that the overall effect of the repeated notes
within the neighboring figures gives rise to a modification of the basic cell.
a.

b.

Example 4.18: Chopin, Etude: motivic relationships of neighboring figures, mm. 1-5

The rythmes anacrustic figurations are stated three times consecutively, each one
ascending higher than before. To create an expressive rendition, we might consider slightly
shortening the eighth-note upbeat to m. 1 and somewhat accelerating and increasing the
dynamics to the second beat. We could then hold back slightly to accelerate and crescendo again,
as each anacrustic figuration rises. In my own playing, I intensify my gradations of volume and
velocity marginally, climaxing on the appoggiatura of m. 3. Although I am attempting to express
a progressive intensification, I play the final approach to the climax with a slight delay, as Lussy

135

would have advised. A diminuendo in the melody appropriately accompanies the appoggiaturas
resolution.
With Chopins decrescendo markings, it is quite appropriate to include a ritardando,
since the rythme ends with a perfect authentic cadence. Such a progression, of course, must be
played carefully in order to continue the flow. In Andrei Gavrilovs 1985/87 recording, he
lingers slightly on the initial pickup and emphasizes the gs4 in m. 5 to re-enliven the phrase, as
shown in Example 4.19.157 This unexpected cadence should not raise the threat of premature
closure. Rather, it should create in the listener an almost urgent desire to know what follows: the
declined half cadence leaves the listener hanging in suspense.

Example 4.19: Chopin, Etude: dynamic phrasing for the opening rythme, mm. 1-5

In the second part of the antecedent phrase (mm. 6-8), a melodic sequence occurs, as
shown in Example 4.20. For such an event, Temperley coined the phrase, first occurrence
strong rule. Temperley explains, When a pattern is immediately repeated, with each instance of
the pattern containing one beat at a certain metrical level, I tend to hear the first beat as stronger
than the second.158 However, Chopins crescendo marking leading to the second beat of m. 6
157

Gavrilov (1985/87).

158

Temperley (2008, 306).

136

Example 4.20: Chopin, Etude: sequence and step motion in the second part of the antecedent
phrase, m. 6-8

seems to override Temperleys first occurrence strong rule. Even though the downbeat of m. 6
features a new harmony (V7/IV), it does not involve a change of bassthe tonic harmony
becomes an applied dominant of the subdominant. As in mm. 1-5, I might suggest not changing
the pedal until the bass note changes. The goal of the sequence is b4 on the second beat of m. 8,
after climaxing on the cs5 (6) in the first beat of m. 7. Example 4.21 illustrates that the melodic 6
will receive an expressive accent in accordance with Lussys theory since it is the highest note
of the melodic segmentand leads to the dominant harmony in m. 7.
A curious feature of the melody line in m. 6 is the grouping of its internal structure, as
shown in Example 4.21. The juxtaposition of the vertical sonority combined with the linear
progression of the double neighboring figures give rise to a third syntaxa motivic
transformation of the basic cell and the germ cell. Schenker referred to this type of technique as
Knpftechnik (linkage technique). In Das Meisterwerk in der Musik, Schenker explains that it is
A technique related to the connection of ensuing spans . . . it concerns the connection or

137

Example 4.21: Chopin, Etude: expressive and harmonic emphasis in the second part of the
antecedent phrase, mm. 6-8

linkages of phrases and/or sections.159 According to Schenker, these connections can be linked
by various techniques, including motivic repetitions. As noted above, the harmonically supported
principal tones on both beats of m. 6 are reaching towards 5 (which will not arrive until m. 8). In
m. 7, cs5 is treated as an upper auxiliary to b4 (as it was in m. 3), although it is now consonantly
supported. As this third-progression ascends to b4, Chopin reaches over the implied goal and
sounds a cs5 at the end of the slur, delaying its resolution for an additional three beats. Note that
this third-progression involves polyphonic melodyChopin dips into the inner voice, where fs4
is elaborated. Within each beat of m. 6, embellishing figures prolong each tone of the germ cell
with a double neighbor figure, as shown in Example 4.22.
Although the pitches conceal the original tones of the germ cell, Peter Smith explains that
when applying Schenkers technique of linkage it is still possible to assert a motivic connection

159

Quoted in Kalib (1973, 89).

138

Example 4.22: Chopin, Etude: a variant of the germ cell in the second rythme, mm. 6-8

even if a repetition fails to reproduce exactly the pitches of the original cell.160 In m. 6, I might
consider the possibility of a motivic linkage through the use of an altered germ cell, as suggested
in Example 4.23.

Example 4.23: Chopin, Etude: melodic grouping of the basic cell in the second rythme
of the antecedent phrase, m. 6

160

Smith (2007, 109-10).

139

The melodic structure in m. 6 creates a grouping of 2+4+2. The outer groupings of two
pitches last exactly half as long as the center grouping of four pitches, which duplicates the
pattern of the basic cell. While it contradicts the phrasing of Example 4.22, it does however,
represent an alternative way to articulate the groupings.
Naturally, strict guidelines for rubato cannot be articulated with precision; nonetheless,
we can perceive dynamic shapes in the notated score that suggest clearly defined rhythmic or
motivic patternspatterns that can assist us in articulating an expressive interpretation. For
instance, the melody in m. 6 begins with a rising motion at the beat level. Within this rising
contour, I delay, to a small degree, the attack on each beat as it ascends, conveying a sense of
growing intensity, as if in opposition to gravity. In contrast, I accelerate and crescendo through
the germ cell figurations between the beats, producing a motion typically associated with
anacrustic gestures. Although this second rythme reaches as high as the first rythme, its contour
is truncated by comparison to that of the first rythme. Whereas the first climax functions as a
dissonance, here it is consonant. Therefore, a performer must take care to project the climax of
the second rythme more passionately than the first by striking the cs5 with greater force.
Between beat 2 of m. 6 and beat 1 of m. 7, a 5-6 motion above the bass (a2) produces a
supertonic seventh chord. This chord intensifies motion to the dominant chord (see Example
4.24). Chopin creates further rhythmic tension by syncopating the melody line in m. 7. Example
4.24 shows the polyphonic implications of the melodic line of mm. 7-8. The polyphonic melody
features a division into soprano and alto registers. The alto voice produces yet another
syncopation within the 1-bar level, stressing the weak pulses of the measure. Chopin intensifies
the measure by writing stretto, considerably changing the even flow of the line. This sudden
tempo gesture gives the syncopations an intense character, driving very urgently to the dominant.

140

The dominant harmony in m. 8 brings the resolution of both the soprano and the syncopated alto
voice.

Example 4.24: Chopin, Etude: polyphonic melody in soprano and alto registers, mm. 7-8

Resolution of e4 to ds4 in m. 8 should release tension just as motion from as3 to an3 should
restore energy. This resolution must be played more softly than the preceding dissonances. The
ritenuto marking in m. 8 immediately slows down the motion, preparing the beginning of the
consequent phrase in m. 9. The intensity should be conveyed by small and gradual increases in
the rate of pulse. I would begin with a crescendo and slight accelerando in m. 6 to the downbeat
of m. 7. Although the bass note does not change to the downbeat of m. 7, a pedal change after the
first sixteenth is mandatory as it features the first minor harmony we have heard in the piece,
producing a local surprise. In my playing, I emphasize the fs3 in the tenor line, stressing the basic
cell at the 1-beat level. My purpose here is twofold: to stress the root of the harmony, and to
intensify the syncopated accents that Chopin notates in both the tenor and the top line. Chopins
stretto compels a slight accelerando into the last beat of m. 8.
The most interesting rhythmic feature of the antecedent phrase is its ending. Do we hear
this phrase as concluding with a half cadence on the second beat of m. 8, as do Cadwallader and
141

Gagn?161 Or do we hear it proceeding to an imperfect authentic cadence eliding with the

beginning of the consequent phrase on the downbeat of m. 9? Certainly, the delayed motion of
the soprano line (cs5 of m. 7 resolving to b4 of m. 8) conveys a sense of release and melodic
closure, which is further reinforced by Chopins markings of tenuto and ritenuto. The same
contrapuntal motion is imitated in the bass on each beat in m. 8 (6 to 5). The dissonance in the
tenor voice (m. 8s a3), which functions as the seventh of the dominant, creates a sense of
urgency, however, making it harmonically active in its context. Ultimately, this creates a sense of
kinetic impulse that must be released, suggesting that the phrase needs to continue to its note of
resolution. This type of phrase overlap in Chopins music is not unusual. Charles Burkhart
discusses a similar passage in the opening of Chopins Mazurka, Op. 59, No. 2.162 From his
analysis he explains, Now it happens that the very first such phrase (bars 1-8) ends on a
semicadence (V) that is composed in a most unusual way: in spite of the cadence, the melodic
line willfully presses on into bar 9. Thus, to avoid a stop and restart, Chopin creates a seamless
and very subtle effect of a progression that appears to lead toward a melodic cadence, but in the
harmonic dimension, actively seeks resolution (similar cadential passages can be found in
Chopins Prelude in E major, Op. 28, no. 9 in mm. 4-5 and 8-9). I am certain that I hear m. 9 as a
beginning, and less certain that I hear it as an ending. A voice leading reduction clarifies the
meaning of the cadence with its underlying pattern of alternating tenths and octaves. Example
4.25 shows how Chopin creates this beautiful contrapuntal relationship (10-8) between the outer
voices in the second rythme (for other local 10-8-10 successions see m. 3 and mm. 6-7).

161

Cadwallader and Gagn (2011, 48).

162

Burkhart (2005, 7).

142

Example 4.25: Chopin, Etude: contrapuntal analysis of outer voices in second rythme, mm.
6-9

In my own playing, to project the half cadence, I try to make the beginning of the
consequent phrase grow out of the ending of the antecedent phrase, by creating a sense of
breath just before the consequent phrases first note. One might think of such a gesture as
representing a replacement for the anacrusis before m. 1.
In the consequent phrase, beginning with the second rythme (mm. 14-16), Chopin
intensifies the chromaticism in the progression towards the dominant. He creates a musical
connecting tissue that leads sequentially to the submediant chord on the second beat of m. 15.
The submediant chord is then expanded by an applied dominant of the dominant and a French
augmented sixth chord in m. 16. These chromatic intermediate chords increase the drive to the
passionate climatic event of the A sectionthe cadential six-four chord in m. 17. An interesting
feature of the passage is its melodic grouping structure. In mm. 14-15 we find a sequence that
projects 1-bar groupings. The melodic contour of m. 6 returns in m. 16, where the second beat
repeats that of the first a step higher. The diminution from one bar to one beat repetitions lends
the passage greater urgency, and along with the markings con forza and crescendo e ritenuto,
clearly calls for increasing volume and decreasing velocity. Whereas the contour of the melody
143

is similar to that of m. 6, however, the function of its supporting harmony is quite different. In
the antecedent phrase the harmony in m. 6 helps to expand a tonic-predominant-dominant
progression. In m.16, the passing motion in the soprano (e5 to gs5) is supported by a chromatic
bass descent to the dominant, as shown in Example 4.26.

Example 4.26: Chopin, Etude: analysis of contrapuntal motion, mm. 16-17

The graph in Example 4.27 demonstrates how the note grouping in the top voices of mm.
14-15 generates variants of the basic cell. It is important to note that this pattern is a true instance
of Knpftechnikit is a result of surface grouping and is not a voice-leading event. It cuts across
harmonic and voice leading segments. Its 2+4+2 grouping coexists with a 4+4 groupingthat is,
it is recognizable as a possible grouping variation.
In the midst of this sequence, Chopin thickens the texture in the treble voices and creates
a connective tissue of music using an ascending four-note motive, as shown in Example 4.28.
Beneath the sopranos basic cell, masked in the alto line, is a rising motive from fs4 to a4. This
same pattern repeats itself a third higher in m. 15. Thus, the melodic structure produces the same
grouping of m. 6 (2+4+2). The pattern recurs a final time in the consequent phrase in m. 16,

144

Example 4.27: Chopin, Etude: possible note grouping variation in mm. 14-15

serving as a connective motion, transferring the register of the Kopfton an octave higher. The
basic cell evaporates into a chordal texture in this final ascent. Chopin enhances the texture
harmonically, while simultaneously accumulating momentum in the melody, driving urgently
towards the climax. The harmonic progression of the rythme establishes a scheme that becomes a
significant aspect of the A sections final segment. Example 4.28 shows how the chords of the
ascending third sequence of mm. 14-15 are grouped in pairs: V7/IV-IV, V7/vi-vi, V7-(P)-V.
Chopin interpolates a chromatic passing chord (the French augmented sixth) in between the
submediant and dominant. The broader motion of the sequence suggests motion from IV-vi-V,
neighboring root motion below and above the dominant. Naturally, these chords could not appear

145

in direct succession because of the resulting parallel octaves. Thus, the intervening applied
dominants prevent the unsatisfactory voice leading.

Example 4.28: Chopin, Etude: analysis of consequent phrase and six-four expansion, mm.
14-21

Following the climax, the harmonic symmetry reverses itself, providing a satisfying
continuation of the phrase. The treatment of the climactic six-four chord in m. 17, however, is

146

unconventional. Initially, it sounds like as a cadential six-four chordthat is, a dominant

harmonysince it is preceded by the dominant of the dominant (B major), and an augmented
sixth chord. Resolution to a root position dominant, on the other hand, is not straightforward. In
Phrase Rhythm of Tonal Music, Rothstein explains this phenomenon:
The first beat of m. 18 might be taken for the resolution at first glance, but it does not
sound like the resolution. This is because m. 18 is already in the midst of a sequence, and
chords in the middle of a sequence generally lack the status of significant functional
harmonies.163
The resulting sequence from mm. 17-21 expands the phrase, prolonging the six-four chord over
four measures. Rothstein considers this sequence a harmonic reinterpretationthe (dominant)
six-four chord is reinterpreted as a tonic six-four chord, resulting in an expanded final tonic.164
As Example 4.28 illustrates, this prolongation allows the melody to return to its obligatory
register, and closes the section with a plagal progression.
The subdominant plays an essential role in both the opening and closing sections of the
Etude. While a plagal event often occurs after a progression in which the tonic is securely
established by a strong dominant, Chopin instead uses the subdominant chord in mm. 17-21 to
expand tonic harmony and avoid the typical authentic cadence. What Chopin avoids is strong
dominant-tonic arrivals at the endingsalmost as if these had already been used up at mm. 5, 9,
and 13. Likewise, in the final measures of the reprise, Chopin will again avoid an authentic
cadence. In its place, he expands the final tonic with a plagal motion by launching into a closing
extension (mm. 73-77) that features the minor subdominant. This extension allows the energy of
the Etude to dissolve while reaffirming and prolonging the tonic through multiple repetitions of
163

Rothstein (1989, 225).

164

Ibid.

147

e2 in the bass. Thus, like the Prelude in Af major, Op. 28 no. 17 (see Chapter 3), Chopin has
created a satisfying and conclusive effect by strongly confirming the tonic and generating a
feeling of repose by means of the subdominant.

Motivic Fragments and Shapes

We can now identify several problems with hearing the first section of the Etude in terms
of a conventional antecedent/consequent period. First, mm. 1-4 do not lead to an expected halfcadence. Instead, Chopin furnishes a perfect authentic cadence in m. 5. Second, mm. 6-8 do not
progress to a simple half-cadence as expected. Rather, this passage is compromised by an
apparent elision in m. 9. And third, mm. 17-21 do not reach the expected perfect authentic
cadence. In its place, a strange dissolving six-four chord is combined with a plagal arrival, vi-IVI in mm. 18-21.
To help us explain such illusive and paradoxical observations, let us now examine the
way in which specific motives help shape the passage. Motivic fragments can arise in various
ways in a composition. More often than not, tonal compositions may be constructed using
several underlying motivic ideas. In my view, the richness and complexity of Chopins Etude
derives from a motivic structure that is inextricably related to its form, creating a context in
which the motives operate. I have identified seven essential motivic units that are recognizable,
and allow variation, creating coherent structure in Chopins Etude. Example 4.29 identifies each
motive by name (simply as useful shorthand). Some of these motives have already been
mentioned.
The primary rhythmic motive, the basic cell (see Example 4.29, a), is the fundamental
source of energy that creates prevailing syncopations throughout the Etude. As noted above, it

148

a. basic cell

b. germ cell [third

progression]

c. upper neighbor cell

d. double neighbor cell

e. descending/ascending cell
[combines two third
progressions]

f. circular cell

g. appoggiatura motive

Example 4.29: Chopin, Etude: seven essential motivic units

149

operates at the beat level, the 2-bar level, the 5-bar level, and at the level of the piece as a whole.
In addition, it manifests itself as a product of note grouping, offering different possibilities of
overall performance. In the climax of the B section (mm. 46-54), for instance, the motive
reappears in varied form providing a sense of inner coherence and structural conformity.
Instances of the germ cell appear throughout the Etude, especially in pinnacle passages
like the retransition and the coda, contributing to the compositions formal design. This motive
permeates the work, occurring in a variety of different ways. In its simplest form it generates a
linear progression that leads to the Kopfton (see Example 4.29, b). At the end of the antecedent
phrase, in mm. 6-8, it appears in a transposed and embellished form (see Example 4.22).
Approaching the climax of the A section, Chopin expands the melodic register, using the germ
cell to create melodic coherence. As Example 4.30 depicts, beneath the expanded germ cell are
subordinate entrances of the same cell, which project the rhythm of the basic cell. In preparing to
perform this passage, one might try playing only the notes on the beats leaving out the others. As
the line ascends, a sense of lengthening is felt quite naturally between the e5 to gs5. Now try
playing both the notes on the beats and the subordinate germ cells that lead into them,
maintaining the same flowing arch, but this time stretching the notes that make up the expanded
germ cell slightly more. In my own playing, I use the notes of the expanded germ cell to create a
sense of direction and the notes of the subordinate germ cells to create a layer of dynamics
each rising cell calls for a crescendo and a slowing of tempo. This approach corresponds
wonderfully to Lussys mouvement passionnel: There must be a rallentando at the end of an
ascending or descending progression, especially if the design changes.165

165

Lussy (1885, 182).

150

Example 4.30: Chopin, Etude: the rising motion of the germ cell approaching the climactic
moment of the A section, mm. 16-17

A transformed version of the germ cell occurs over a broader span of music in mm. 3038, within the Etudes B section. This part of the Etude creates a dramatic and unnerving effect.
As Example 4.31 illustrates, the poignant melodic and harmonic tension is created by two halfdiminished seventh chords (on cs and ds) and one fully diminished-seventh chord (es). Each
chord initiates a sequential progression, creating a course of melodic disjunction and contracting
leaps, which are balanced by the rising melodic stepwise motion of a third. In this transformed
version, the germ cell forms a structural foundation in the passage, providing coherence and
direction. Although the germ cell is outlined over a larger span of music, creating a degree of
separation, Cadwallader and Gagn explain, The notes that begin and end motions frequently
stand out more than the tones in between.166

166

Cadwallader and Gagn (2011, 21).

151

Example 4.31: Chopin, Etude: transformed version of the germ cell, mm. 30-38

Example 4.32 illustrates a subordinate progression that melodically and harmonically

leads to the climactic dominant of the B section. Chopin develops a chromatically altered version
of the germ cell in mm. 43 and 45. Notice that as the melody ascends by third, the bass line
simultaneously inverts the germ cell, creating voice exchange figures. Chopin intensifies this
moment with a neighboring motion above and below the bass. What I find most enticing about
this passage is the close succession of statements of the modally inflected germ cell. In my own
playing, I integrate several attacks, with the strongest stresses on the beginning of each rising
cell. Lussy would advise that in addition to the accents we must also accelerate, When at the
beginning of rhythms, the melody and the bass move exceptionally, in contrary motion, whether
converging or diverging.167

167

Lussy (1885, 174).

152

Example 4.32: Chopin, Etude: chromatically altered version of the germ cell, mm. 43-44

Example 4.33 depicts the basic cell projected on different rhythmic levels. In this
instance, capturing the expansion of the basic cell allows the pianist to make sense of this
virtuosic passage, creating and maintaining a delicate and proportional balance. To intensify the
drama, Chopin metrically alters the beginning of the patternrather than starting on a strong
beat, it now begins on the second sixteenth note of the bar. The challenge to the pianist is to
avoid making the beginning of each grouping sound like a downbeat. In my own playing, I try to
observe Chopins rhythmic notation as precisely as physically possible. I accomplish this by
incorporating a slight ritardando at the end of m. 45 to the downbeat of m. 46. I avoid, however,
elongating the downbeat in m. 46 so that the beginning of the con bravura section is clearly
syncopated. An exaggerated rubato on the downbeat of m. 46, I feel, weakens the rhythmic

153

Example 4.33: Chopin, Etude: the basic cell projected at different rhythmic levels, mm. 4654

154

tension that Chopin has so skillfully integrated into the passage. To assist with articulating the
syncopation, I like to place a slight accent at the beginning of each grouping that replicates the
basic cellthat is, accents that retain the underlying pulse of 4+8+4. This allows the syncopation
to become an integral part of the entire passage. Moreover, the stress developing from the
syncopation destabilizes the entire passage, creating intense momentum. Lussy would concur
with such an interpretation since he states that Accents must be given to . . . [those notes that]
begin the first rhythm on the unaccented beat . . . [especially] if the notes are more numerous . . .
[and] proceed in a different motion.168 When Chopin finally stabilizes and reestablishes metrical
regularity on the downbeat of m. 54, connecting the end of the climactic event of the B section to
the retransition, the moment is even more special if the syncopation that preceded it was
observed. Lastly, in the retransition (mm. 54-61), Chopin uses the basic cell as a melodic gesture
that leads to the return of the tonic melody, as shown in Example 4.34.

Example 4.34: Chopin, Etude: basic cell as a motivic gesture in the retransition, mm. 58-59

As Chopin prepares the return of the main theme material in the retransition, a
descending stepwise pattern of a third appears in mm. 58-59. By means of this transformed and
inverted germ cell, Chopin leads from the prolonged key area of the dominant back to the tonic,
as shown in Example 4.35.
168

Lussy (1885, 135).

155

Example 4.35: Chopin, Etude: harmonic scheme in the retransition, mm. 54-63

As noted earlier, a 5-bar extension establishes a plagal progression at the end of the work,
mm. 73-77. The germ cell is now inverted, appearing in its descending form, as shown in
Example 4.36. After reaching the climax in the A1 section (m. 70), Chopin reestablishes the

156

obligatory register of the Kopfton in m. 73. This 5-bar extension comprises two broad motions:
(1) it initiates a new dramatic element, a modally inflected plagal cadence that initiates the final
descent from the Kopfton, and (2) it restores rhythmical balance by eliminating all syncopation
each accent now occurs on a strong beat. Given Chopins markingsrallentando and
smorzandoit is effective to slightly lengthen each measure as the germ cell descends and as the
piece unwinds to its end. The modal mixture creates an even greater tendency to want to slow the
tempo, since it involves notes foreign to the tonic key. Lussy explains, There must be a
rallentando . . . at the end of a phrase which is, by exception, polyphonic and contrapuntal, and
contains complicated harmony, resolved discords, or suspensions, etc.169

Example 4.36: Chopin, Etude: the final descent from the Kopfton using the inverted germ
cell, mm. 73-77

Two other motives create a sense of tonal coherence within the A section. Chopin uses
these motivic patterns in immediate succession and over larger spans of music. The upper
neighbor cell, for instance, first appears in m. 2 (see Example 4.29, c). It is stated a step higher in
m. 3 and returns to its original configuration of tones in m. 5. By means of repetition, it delays
169

Lussy (1885, 192).

157

and intensifies the forward motion of the rythmes subsequent goal, e4 in m. 5. Note that the first
repetition of the motive is used in sequence to heighten the climax of the rythme (m. 3), while the
second repetition functions as a structural resolution to 1 (m. 5). Schenkers motto, Semper
idem sed non eodem modo (Always the same, but never in the same way)170 reminds us that
these functional implications can be of great help in understanding the expressive articulations of
the music. In the second rythme of the consequent phrase, the upper neighbor cell, in conjunction
with the double neighbor cell (see Example 4.29, d), creates a sequential force of motion that
ultimately leads to the climax in m. 17. As Example 4.37 illustrates, Chopin arranges both the
upper neighbor and the double neighbor cells to produce an increasing forward momentum to
help shape the climax.
The grouping of the motives implies a consistent subdivision of Chopins crescendo
marking. Let us try playing the reduction of the cells found in Example 4.38. We begin by
playing only the upper neighbor and double neighbor cells. I recommend accelerating and
gradually getting louder through the upper neighbor cell of m. 14, followed by a slight pulling
back on the double neighbor cell. I would then follow the same strategy in m. 15 but with more
excitement. After achieving a pleasing execution, we can try including the statements of the
germ cell, located in the middle staff of the reduction. Each statement of the germ cell has a
tendency to accelerate to the subsequent beat, creating an even more urgent motion. In this
subphrase, Chopins polyphonic texture allows the entrances of the germ cell to occur with the
accented third sixteenth of the upper neighbor cell. To articulate this gesture, we can add a
crescendo/decrescendo swell on each occurrence of the upper neighbor cell in mm. 14-15,
replicating Chopins markings from mm. 2-3 (see Example 4.37).
170

Schenker (1935, title page).

158

Abbreviations:
UNC = upper neighbor cell
DNC = double neighbor cell
GC = germ cell

Example 4.37: Chopin, Etude: motivic cells used in the second rythme of the consequent
phrase, mm. 14-17

Example 4.38: Chopin, Etude: descending/ascending cell, mm. 17-21

The descending/ascending cell exerts a significant influence upon the irregular rhythmic
design of the opening rythme (see Example 4.29, e). Although the agogic accents in mm. 1-5

159

underscore the meter, as mentioned earlier, in a broader perspective, the appearance of this
specific motive creates an important goal of tonal motion that helps augment the phrase. The
tension created by the motive is not released until m. 5, at which point 2 (m. 4) resolves to the
tonic (m. 5) (for score excerpt, see Example 4.5). In this instance, the cells descending motion
creates melodic tension, even though it is balanced by subsequent motion in the opposite
direction. As Example 4.38 shows, Chopin reverses this dynamic quality of the cell in a
descending sequential pattern following the point of climax, drastically changing the design of
the melodic contour that precedes it. Within this expanded subphrase, the motive forms a
discharge that leads to the closing tonic. Chopin makes use of the descending configuration of
the motive to resolve tension and to bring the section to a close. It is no surprise that Chopin uses
this underlying structure to create the same continuum of melodic release in the coda. The
chromatic implications, in conjunction with the descending gestures, produce a tonal motion that
oscillates between stable tonic tones and unstable subdominant tones, creating an impression of
distance and final closure (see Example 4.36).
Integrated within the descending/ascending cell is a smaller motivic configurationa
descending leap of a fourth followed by an ascending step, which I label the circular cell (see
Example 4.29, f). Its component pitches (gs4ds4es4) resurface at the beginning of the
consequent phrase, the g# suggesting a superimposed descant. In both occurrences, the cell
appears over tonic harmony and progresses to dominant harmony. After the climax of m. 17, a
varied version of the circular cell appears over a larger span of music. Example 4.39 illustrates
that the parallel motion of the cell is augmented over a dominant six-four harmony that leads to a
deceptive progression. While the first two statements of the motive establish 2 (mm. 4 and 9), in
this instance, Chopin expands the cell to form a sequential progression that allows the Kopfton to

160

return to its obligatory register. Notice that the repetition of the cell a third lower in mm. 18-19
embodies the identical contour. In this iteration, the cell functions as part of the surface-level
expansion of the section, and its final release of musical tension.

Example 4.39: Chopin, Etude: augmented variation of the circular cell, mm. 17-21

Another motive that incorporates both tension and release is what I refer to as the
appoggiatura motive (see Example 4.29, g). It first appears at the point of climax in the opening
rythme (m. 3), functioning as a dissonant appoggiatura. In its second appearance (mm. 7-8), the
6-5 motion is prolonged through four beats and sustained over consonant support. In both
examples, the motive is used to create the highpoint and goal of resolution of the subphrase,
regardless of whether it occurs locally or over broader spans of music. In the B section (mm. 3031), Chopin transforms the motive to create a linear progression that involves modal inflections,
as shown in Example 4.40.
The play of modal inflections in this passage gives the melody much of its character.
While the cell shapes and guides the progression, beneath it, we hear a rhythmic organization
that is syncopatedthe alto and tenor voices enter on the second sixteenth note of each beat.
This is the first occurrence of surface level syncopation within the B section. Chopin repeats this
identical pattern a step higher in mm. 34-35. Thus, the two shapes that underlie this passage are
one of stability, and one of instability. The appoggiatura motive in the melody creates a sense of

161

Example 4.40: Chopin, Etude: modal inflections of the appoggiatura motive, mm. 30-31

solidity with its metrically strong emphasis, while the alto and tenor voices underneath it create a
dynamic sense of syncopation. Chopin generates an even more perturbing effect with his use of
suspensions on the second beat of each measure. It goes without saying that the challenge for the
pianist is to incorporate all three of these features simultaneously.
As mentioned earlier, the 6-5 motion appears in the bass in m. 8 directing contrapuntal
energy towards its cadential goal (see Examples 4.25 and 4.26). This appearance of the cell in
the bass is elaborated in mm. 43 and 45. Through the chromaticism of the f6, Chopin intensifies
the motion towards the dominant by incorporating linear activity that involves motion below and
above the dominant. This subordinate progression is initiated on the second sixteenth note of the
beat, again reinforcing the idea of syncopation (see Example 4.34).
In the retransition and the coda, the modally inflected variant cell resurfaces in the bass
and is used as a means of expanding both phrases. The retransition uses the cell to intensify the
harmonic motion to the dominant (see Example 4.35). The coda, however, extends the cell over a
larger span of music, producing a strong tendency to move toward and establish the tonic, though
it evades an authentic cadence (see Example 4.41).

162

Example 4.41: Chopin, Etude: chromatically altered resolving cell in coda, mm. 73-77

Conclusion
The purpose of this chapter was to evaluate the underlying structure and features of this
Etude in order to shape an expressive and convincing interpretation. The analysis strongly
suggests that the basis of a performance conception of the Etude should be rooted in an
understanding of the various elements that operate in itspecifically syncopation, legato
melody, and polyphony.
Without a doubt, there are difficult decisions that need to be made when interpreting this
Etude. Chopins changes of tempo marking, for instance, have generated much confusion,
allowing for extreme variants and self-indulgence. Performing this Etude at a tempo that inhibits
continuous momentum works against the syncopated rhythmic shape of the basic cell, which
permeates the music at the beat-level, 2-bar level, 5-bar level, and the overall form of the work.
Another unifying factor that produces a temporally coherent rendition of this Etude is the status
of certain polyphonic lines and hidden evocative countermelodies. Quite often, they dictate and
help determine tempo fluctuations in various passages, as I have demonstrated in mm. 6-8, 1416, and 17-21. The polyphonic voices create melodic contours and shapes, as in the very opening
rythme, that demand specific physical actions by the performer, in order to create a well-

163

projected, legato melody. While the pervasive syncopated rhythms may suggest a detached touch
and less restrained dynamics, the somber and striking melody, however, calls for a continuous
assimilation of expressive and animated nuances. Finally, I would claim that an additional
responsibility of a performer when interpreting this Etude is to grasp and somehow articulate in
performance the remarkably coherent network of motivic relationships that saturate this work.
The fragmentation of various motives, and their context in the musics narrative, is of an obvious
importance in creating an expressive performance. As the analysis has demonstrated, an
awareness of the Etudes intricate motives helps integrate a more informed understanding of the
Etudes local and large-scale design, melodic structure, and rhythmic groupings.

164

CONCLUSION
LUSSYS ELEMENTS OF EXPRESSIVE PERFORMANCE
Many write on music, few advance by their writing the art, or add anything to the general
store of knowledge. Among the few I do not hesitate to rank M[athis] Lussy. By his
Trait de lexpression musicale he has influenced theory and practice very considerably
. . . this influence is sure to spread further and work still more effectively.
Frederick Niecks171

Within fourteen years of its first publication, Mathis Lussys Trait de lexpression
musicale appeared in fourteen French editions and was translated into English, German, and
Russian.172 Its influence and significance was immediate, as is evident from numerous positive
reviews. Lussys theory of expression is the most extensive exploration to date of the concept of
accent.173 His theory is innovative because it postulates specific features of musical events to
which a performer should respond. Lussy was one of the first music theorists to write about and
explore the notion of expressive variables as inherent structural properties of music. According
to Lussy, musical structure and musical expression are intrinsically related. In her discussion of
recent research on the sources and psychology of expression in performance, Doantan expounds
on Lussys innovative contributions, stating:
Historical roots of the recent research on the relation between musical structure and
expression in performance go back to Lussy. Before any experimental data on
performance variables became available . . . Lussy had already formulated the basic
functions of tempo and intensity variations in performance as they relate to the musical
structure.174
171

Quoted in Doantan (1997, 240).

172

Green (1991, 270).

173

Ibid. (298).

174

Doantan (2002, 111).

165

Lussys basic conjecture in this connection is that expressive performance is dependent on a

performers conceptual understanding of the musical structurethat is, tonality, meter, and
rhythm. For Lussy, expression in performance depends mainly on two devices: fluctuations of
dynamic intensity and fluctuations of tempo. The first type involves accentuation and dynamic
nuance while the second type relates to the application of tempo rubato.
Lussy proclaims that a performer must be cognizant of three types of musical events:
metric accents, group boundaries, and pathtique occurrences.175 In Lussys theory,
accentuation defines the level of dynamic intensity that marks pivotal points in phrases and
shapes the beginning and ending of rhythmic groups. In this context, accentuations, for Lussy, do
not always indicate an increase in volume or stress. On the contrary, a passage can be rendered
expressive by a decrease of intensity in relation to its surrounding counterparts, as demonstrated
in the final refrain of Chopins Mazurka Op. 7, no. 2 and in his Prelude Op. 28, no. 17 (see
Chapters 2 and 3).
Metric accentuation, according to Lussy, always involves stress. However, Lussy
contends that although metric accents are strong in theory, a performer will always have a choice
on the degree to which the metric structure needs to be emphasized. This notion was explored in
Chapter 1 with my analysis of Chopins Prelude Op. 28, no. 7: at deeper levels, the metric accent
directs the tonal motion, with odd-numbered measures carrying metrical and hypermetrical
stress, because they initiate the larger groups of measures. On the surface level, however, the
climactic event of m. 12 dictated the Preludes dramatic expression because of its syncopated
relation to the metric structure. This analytical discernment allows a performer to consider at
least two possible choices: (1) to either bring out Cones structural downbeat (a deeper-level
175

Doantan (2002, 113).

166

metrical accent near the end of the composition); or (2) to emphasize the poignant moment in m.
12 as a critical articulation that directs the remainder of the works energy. These observations
underscore different aspects of the musical structure, each of which has its own implications for
expressive performance.
To assist a performer in understanding how to shape a phrase in a given passage, Lussy
emphasizes the significance of grouping. His basic criteria for expressive shaping of rhythmic
groupings revolve around the principle of tonal attractions. For Lussy, the first pitch of a
rhythmic unit often carries stress. This is simply to clarify the beginnings of rhythmic units.
However, not all rhythmic units are beginning-accented, as confirmed in my analysis of the
Mazurka Op. 7 No. 2 (see Chapter 2). Here, I demonstrated that the agogic accents in the evennumbered measures propel the music forward, overriding the effect of the beginning-accented
groupings. Although the majority of the Mazurkas incises involved agogic accentsproducing
end-accented groupingsthere were several exceptions that allowed for performative choices on
whether or not to create forward impulse, including the downbeats of m. 21 and m. 25.
The performance of end-accented groupings, in Lussys theory, is even more flexible.
According to Lussy, the choice to accentuate the final pitch of a rhythmic grouping is determined
by its tonal and rhythmical implications. However, as Doantan explains, Lussy leaves the
judgment of the degree to which the final note of a group is desired to the intuitive discernment
of the performer.176 Using this hypothesis, I explored and articulated various choices concerning
end-accented units throughout my analyses. For instance, in the Prelude no. 17, I observed that
its melodic rhythm creates an accentual pattern in which stresses often occur on the evennumbered measures, creating a sense of syncopation within its hypermetrical structure (see
176

Doantan (2002, 114).

167

Chapter 3). I claimed that a performers chief responsibility in interpreting this work is in
considering alternative ways of pacing the 2-bar incises and the 4-bar hypermeasures within each
refrain, allowing for various degrees of dynamic and temporal fluctuation.
Above all, the primary focal point of Lussys theory is in his belief that rhythmical and
tonal irregularities lie at the heart of expressive performance. If anything unexpected occurs in
the metric, rhythmic, and tonal structure of a work, then it will produce an accent pathtiquea
stress strong enough to override all other criteria. At the metric level, the main source of
irregularity is syncopation. In Lussys theory, as Doantan explains, The stress that the
performer employs in delivering syncopation is the manifestation of his inner struggle to retain
the regularity of metric accents against this destructive force.177 In my analysis of Chopins
Etude in E Major, Op. 10 No. 3, I argued that the syncopation at the beat level becomes an
intrinsic and essential feature of its musical structure, guiding a performers rhythmic conception
(see Chapter 4). The key in rendering a lively interpretation of this work, in my view, is realizing
the expressive potential in Chopins irregular groupings, from the smallest level to its largest
level, while also effectively rendering the lovely legato melody and giving appropriate attention
to each strand of Chopins astonishingly rich polyphonic texture.
Irregularities of any sort, e.g. syncopations, impact critical choices a performer will need
to make concerning dynamic nuances and tempo variations. According to Lussy, tempo
fluctuations in performance serve two ends: they render the internal dynamics of rhythmic
groups comprehensible, and convey their expressive content to the listener.178 Experiencing the
internal dynamics of rhythmic groups, Lussy believes, is the equivalent of experiencing bodily
177

Doantan (2002, 119).

178

Ibid. (126).

168

movement. For Lussy, an ascending melody is similar to the psychological experience that
accompanies the physical act of climbing,179 As Lussy suggests, such a musical action demands
both a crescendo and accelerando. This idea inspired my analyses in the two sequential episodes
in Chopins Prelude no. 17 (see Chapter 3). The rising melodic lines are transferred up an octave
in both passages followed by a reversal of melodic contour. For Lussy, such passages need to
integrate the opposite counteraction (that is, a slowing down of forces) to achieve a balanced
proportion. In m. 51, the melody begins to descend from b5, and Chopins diminuendo marking
confirms a tapering off of energy. The fifth-related progression, however, produces a
gravitational pull that defies the impulse toward a ritardando. As my analysis indicated, such
passages allow a performer to choose between shaping the unit in a way that conforms to its
melodic contour, or in a way that focuses on its harmonic implications. Either choice can result
in clear, expressive interpretations.
Some readers may be skeptical about the validity of such tempo fluctuations. I would ask
them to consider the following statements. The first is by Chopins pupil Karol Mikuli in
Aleksander Michaowskis Jak gra Fryderyk Szopen? [How Did Chopin Play?] (1932).
Chopin was far from being a partisan to metric rigor and frequently used rubato in his
playing, accelerating or slowing down this or that theme. But Chopins rubato possessed
an unshakable emotional logic. It always justified itself by a strengthening or weakening
of the melodic line, by harmonic details, by the figurative structure. It was fluid, natural;
it never degenerated into exaggeration or affectation.180
A second statement is by Wilhelm von Lenz, among the privileged firsthand witnesses to
Chopins playing.

179

Doantan (2002, 128).

180

As quoted in Eigeldinger (1986, 50).

169

What characterized Chopins playing was his rubato, in which the totality of the rhythm
was constantly respected. The left hand, I often heard him say, is the choirmaster
[Kapellmeister]: it mustnt relent or bend. Its a clock. Do with the right hand what you
want and can. He would say, A piece lasts for, say, five minutes, only in that it occupies
this time for its overall performance; internal details [of pace within the piece] are
another matter. And there you have rubato.181
It is also worth mentioning Zbigniew Skowrons description of Chopins rubato as quoted in his
2004 article Creating a Legend or Reporting the Facts? Chopin as a Performer in the
Biographical Accounts of F. Liszt, M.A. Szulc, and F. Niecks.182
Charles Hall . . . told [Frederick] Niecks that when he first heard him [Chopin] play his
compositions he could not imagine how what he heard was represented by musical signs.
At the same time, he remarked that Chopins tempo rubato was sometimes mistaken for
the removal or shifting of the accent.
Ultimately, a performance of Chopins music must be imbued with an improvisational character.
This is apparent from the very fact that Chopin never played his works twice with the same
expression . . . he could have played the same piece twenty times in succession, and you would
still listen with equal fascination.183 Lastly, Kazimierz Morski suggests that Chopin abandoned
the use of metronome indications for his compositions after 1836 in order to reinforce this
improvisatory notion by allowing greater freedom in the individual sensibilities of
performers.184
Greater freedom in music involves the idea of choice and expressive performance
necessitates the making of decisions. This is reflected in Lussys performance rules. His
methodological approach is the outcome of intuitive knowledge from his lifetime experience of
181

As quoted in Eigeldinger (1986, 50).

182

Skowron (2004, 20).

183

As quoted in Eigeldinger (1986, 55).

184

Morski (2004, 154).

170

being an accomplished musician, teacher, and theorist. While Lussy formulated explicit rules to
promote musical expression, the greatest significance of his work, I believe, is its implication
that the source of all expression in performance lies in the performers ability to make choices
about the functions of particular musical features and the means of projecting them. Edward T.
Cone confirmed this belief when he said that performers must . . . decide what is important and
make that as clear as possible, even at the expense of other aspects of the work.185
Although Lussys theory teaches us to take note of the many elusive and paradoxical
passages, marking them for attention and suggesting alternative ways of realizing them, he did
not imply that there might be more than one way to express a piece of music. On the contrary,
Lussy believed that performances of the same piece should not have significant differences. For
Lussy, it is the performers responsibility to identify the most exciting passages, and then
integrate and control them in real time so that they can be accurately conveyed. But if this
process is as constricted as Lussy suggests, one must wonderwhy are there so many
interpretative differences between performances of Chopins compositions? These artistic
differences, lead one to believe that there must be more than one way to successfully create an
expressive performance. Perhaps Lussys greatest contribution was not in his confidence of
finding that one correct interpretation, but rather in his ability to make his readers aware of the
importance of understanding the intricate details of a musical score, and his formulation of rules
on how to examine and to select the varying nuances to be realized in performance.
Alfred Brendel expressed a similar notion when he said, to understand the composers
intentions means to translate them into ones own understanding.186 If this is true, then
185

Cone (1968, 34).

186

Brendel (1976, 25).

171

ambiguous passageslike the hypermetric reversal that marks a critical point of tension in the
Prelude No. 7 (m. 12); or the Mazurkas subdominant arrival at the restatement of the principal
theme (m. 25); or the subtle hypermetrical deviations found in the two sequential episodes of
Chopins Prelude No. 17; or the prevailing significance of syncopation in the Etudewill always
invite interpretive license, because ones own understanding invites performers to add their
own personality and thoughts to the work. Lussys theory helps us to better understand those
many provocative surprises, encouraging a thorough examination of the score and taking note of
their special treatment. Nevertheless, an objective comparison of different interpretations
demonstrates that numerous renditions of the same piece are not the result of a lack of
understanding, as Lussy would have us believe, but rather the result of different personalities
producing various interpretations, all of which, I believe, are worthy in their own ways.

172

WORKS CITED
Aldwell, Edward, Carl Schachter and Allen Cadwallader. 2011. Harmony and Voice Leading. 4th
edition. Boston, MA: Schirmer/Cengage Learning.
Beach, David. 2012. Advanced Schenkerian Analysis: Perspectives on Phrase Rhythm, Motive
and Form. New York: Routledge.
Berry, Wallace. 1986. Form in Music: An Examination of Traditional Techniques of Musical
Form and Their Applications in Historical and Contemporary Styles. Englewood Cliffs:
Prentice-Hall.
Brendel, Alfred. 1991. Musical Thoughts and Afterthoughts. New York: Farrar, Straus & Giroux.
Burkhart, Charles. 2005. The Phrase Rhythm of Chopins A-flat Mazurka, Op. 59, No. 2, in
Engaging Music: Essays in Music Analysis, ed. Deborah Stein. 3-12. Oxford: Oxford
University Press.
Cadwallader, Allen and David Gagn. 2011. Analysis of Tonal Music: A Schenkerian Approach.
3rd edition. New York: Oxford University Press.
Caplin, William E. 1998. Classical Form: A Theory of Formal Functions For the Instrumental
Music of Haydn, Mozart, and Beethoven. New York: Oxford University Press.
Chechliska Zofia, 2004. Chopin in Proportion. In Analytical Perspectives on the Music of
Chopin, ed. Artur Szklener. 157-165. Warsaw: Narodowy Instytut Fryderyka Chopina.
Cone, Edward T. 1968. Musical Form and Musical Performance. New York: W.W. Norton.
Doantan, Mine. 1997. Mathis Lussys Theory of Rhythm as a Basis for a Theory of Expressive
Performance. Ph.D. diss., Columbia University.
. 2002. Mathis Lussy: A Pinoeer in Studies of Expressive Performance. Bern; New York:
Peter Lang.
. 2012. "'PhrasingThe Very Life of Music': Performing the Music and NineteenthCentury Performance Theory." Nineteenth-Century Music Review 9, no. 1: 7-30.
Downes, Stephen. (n.d.). "Mazurka." Grove Music Online. Oxford Music Online. Oxford
University Press, accessed January 24, 2014, http://www.oxfordmusiconline.com/
subscriber/article/grove/music/18193.
Eigeldinger, Jean-Jacques. 1986. Chopin: Pianist and Teacher as Seen by his Pupils. Trans.
Naomi Shohet with Krysia Osostowicz and Roy Howat. Ed. Roy Howat. New York:
Cambridge, University Press.

173

Goldenzweig, Hugo. 1987. Selected Piano Etudes of Frederic Chopin: A Performance Guide.
Ph.D. diss., New York University.
Goodrich, A. J. 1899. Theory of Interpretation Applied to Artistic Musical Performance.
Philadelphia: T. Presser.
Green, Michael D. 1991. A History of the Word Accent in Music Theoretical Sources from
the Sixteenth Century to the Present. Ph.D. diss., University of Chicago.
. 1994. Mathis Lussy's "Trait de l'expression musicale" as a Window into Performance
Practice. Music Theory Spectrum, 16, no. 2: 196-216.
Kalib, Sylvan Sol. 1973. Thirteen Essays From The Three Yearbooks Das Meisterwerk in Der
Musik, by Heinrich Schenker: An Annotated Translation. Vol.s IIII. Ph.D. diss.,
Northwestern University.
Klein, Michael L. 2012. "Chopin Dreams: The Mazurka in Cs Minor, Op. 30, No. 4." 19thCentury Music 35, no. 3: 238-260.
Kramer, Jonathan. 1988. The Time of Music: New Meanings, New Temporalities, New Listening
Strategies. New York: Schirmer Books.
Krebs, Harald. 1999. Fantasy Pieces: Metrical Dissonance in the Music of Robert Schumann.
New York: Oxford University Press.
. 2003. "Metrical Dissonance in the Music of Chopin." In Chopin and His Work in the
Context of Culture. Vol. I, ed. Irena Poniatowska. 289-99. Warsaw: Polska Akademia
Chopinowska.
. 2004. "Metrical Disturbances in Chopin's Third Ballade." In Analytical Perspectives on
the Music of Chopin, ed. Artur Szklener. 139-55. Warsaw: Narodowy Instytut Fryderyka
Chopina.
. 2005. "Hypermeter and Hypermetric Irregularity in the Songs of Josephine Lang." In
Engaging Music: Essays in Music Analysis, ed. Deborah Stein. 13-29. Oxford: Oxford
University Press.
Lerdahl, Fred and Ray Jackendoff. 1983. A Generative Theory of Tonal Music. Cambridge, MA:
MIT Press.
Lester, Joel. 1986. The Rhythms of Tonal Music. Carbondale and Edwardsville, IL: Southern
Illinois University Press.
Letanov, Elena. 1991. Piano Interpretation in the Seventeenth, and Eighteenth, and Nineteenth
Centuries: A Study of Theory and Practice Using Original Documents. Jefferson:
McFarland.

174

Lussy, Mathis. 1874. Trait de lexpression musicale: Accents, nuances et mouvements dans la
musique vocal et instrumentale. Paris: Berger-Levrault & Heugel. English translation by
M.E. von Glehn, London, 1885 as Musical Expresssion, Accents, Nuances, and Tempo in
Vocal and Instrumental Music. German trans. By F. Vogt, Leipzig, 1886. Russian trans.
by V.A. Chechott, St. Petersburg, 1888. Eight French editions through 1904.
. 1897. Le rythme musical: Son origine, sa fonction et son accentuation. Paris: Librairie
Fischbacher. Abridged English translation by Ernest Fowles, ed. Ernest Dutoit, London:
Vincent Music CO, 1908 as A Short Treatise on Musical Rhythm. Spanish trans. By P.
Quaratino, Buenos Aires, 1945. Four French editions through 1911.
. 1903. Lanacrouse dans la musique moderne. Paris: Heugel.
Meyer, Leonard B. 1956. Emotion and Meaning in Music. Chicago: University of Chicago Press.
. 1973. Explaining Music: Essays and Explorations. Berkeley: University of California
Press.
Moore, Stephen Fred. 1992. The Writings of Emile Jaques-Dalcroze: Toward a Theory for the
Performance of Musical Rhythm. Ph.D. diss., Indiana University.
Morski, Kazimierz. 2004. Interpretations of the Works of Chopin. A Comparative Analysis of
Different Styles of Performance. In Chopin in Performance: History, Theory, Practice,
ed./trans. Artur Szklener, John Comber, Kinga Tarka, and Wojciech Bokowski. 153167. Warszawa: Warszawa: Narodowy Instytut Fryderyka Chopina.
Narmour, Eugene. 1988. On the Relationship of Analytical Theory to Performance and
Interpretation. In Explorations in Music, the Arts, and Ideas: Essays in Honor of
Leonard B. Meyer, ed. Eugene Narmour and Ruth A. Solie. 317340. Stuyvesant, New
York: Pendragon Press.
Perkins, Marion Louise. 1961. Changing Concepts of Rhythm in the Romantic Era: A Study of
Rhythmic Structure, Theory, and Performance Practices Related to Piano Literature.
Ph.D. diss., University of Southern California.
Rink, John. 2002. Analysis and (or?) Performance. In Musical Performance: A Guide to
Understanding, ed. John Rink. 35-38. New York: Cambridge University Press.
. 2004. Analyzing Rhythmic Shape in Chopin's E major Etude, in Analytical
Perspectives on the Music of Chopin, ed. Artur Szklener. 125-38. Warsaw: Narodowy
Instytut Fryderyka Chopina.
Rothstein, William. 1984. "Heinrich Schenker as an Interpreter of Beethoven's Piano Sonatas."
19th-Century Music 8, no. 1: 3-28.
. 1989. Phrase Rhythm in Tonal Music. New York: Schirmer.

175

. 2005. Like Falling Off a Log: Rubato in Chopin's Prelude in A-flat Major (Op. 28, No.
17). Music Theory Online 11, no. 1.
Samson, Jim. 1985. The Music of Chopin. London: Routledge & Kegan Paul.
Schachter, Carl. 2004. Idiosyncrasies of Phrase Rhythm in Chopins Mazurkas. In The Age of
Chopin, ed. Halina Goldberg. 95-105. Bloomington & Indianapolis: Indiana University
Press.
Schenker, Heinrich. 1933 [1969]. Fnf Urlinie-Tafeln. Vienna: Universal Edition. English
translation, Five Graphic Music Analyses, revised and translated by Felix Salzer. New
York: Dover.
.1935. Der freie Satz. Vienna: Universal Edition, 1935. Second, revised edition, edited by
Oswald Jonas, Vienna: Universal Edition, 1956. English translation, Free Composition
(Der freie Satz), translated and edited by Ernst Oster. New York: Longman, 1979.
Schmalfeldt, Janet. 1985. "On the Relation of Analysis to Performance: Beethoven's Bagatelles
Op. 126, Nos. 2 & 5." Journal of Music Theory 29/1: 1-31.
Skowron, Zbigniew. 2004. Creating a Legend or Reporting the Facts? Chopin as a Performer in
the Biogrphical Accounts of F. Liszt, M.A. Szulc, and F. Niecks. In Chopin in
Performance: History, Theory, Practice, ed./trans. Artur Szklener, John Comber, Kinga
Tarka, and Wojciech Bokowski. 9-23. Warszawa: Warszawa: Narodowy Instytut
Fryderyka Chopina.
Smith, Peter H. 2007. "New Perspectives on Brahms's Linkage Technique." Intgral: The
Journal Of Applied Musical Thought 21/1: 109-154.
Smither, Howard Elbert. 1960. Theories of Rhythm in the Nineteenth and Twentieth Centuries
with a Contribution to the Theory of Rhythm for the Study of Twentieth-Century Music.
Ph.D. diss., Cornell University.
Steglich, Rudolf. 1956. ber-Chopins E-dur Etde, op. 10, Nr. 3. Chopin Jahrbuch 1956. 13241. Vienna: Amalthea-Verlag.
Swartz, Anne. 1973. "The Mazurkas of Chopin: Certain Aspects of Phrasing." PhD diss.,
University of Pittsburgh.
Tempereley, David. 2008. Hypermetrical Transitions. Music Theory Spectrum 30: 305-325.
Thomas, Adrian. 1992. "Beyond the Dance." In Collected Work: The Cambridge Companion to
Chopin. 145-159. Cambridge, England: Cambridge University Press.

176

Trk, Daniel Gottlob. 1789. Clavierschule oder Anweisung zum Clavierspielen fr Lehrer und
Lernende. Leipzig & Halle: Schwickert; Hemmerde und Schwetschke. English
translation and introduction by Raymond Haggh. 1982. Lincoln: University of Nebraska.
Yip, Sheung Yung Joyce. 2010. Tonal and Formal Aspects of Selected Mazurkas of Chopin: A
Schenkerian View. Ph.D. diss., University of Michigan.
Recordings Cited
Argerich, Martha. 1987. Chopin: 26 Preludes [et al.]. Deutsche Grammophon 4315842.
Arrau, Claudio. 1956. Chopin: Etudes Op. 10 & 25/Trois Nouvelles Etudes. EMI Classics France
B000002RZY.
Ashkenazy, Vladimir. 1996. Chopin: Mazurkas. Decca B00000427T.
Cherkassy, Shura. 1953-55 [1999]. Great Pianists of the 20th Century - Shura Cherkassky
(Chopin). Vol. I7. Philips B00000HY8B.
Gavrilov, Andrei. 1985/87 [2001]. Chopin: Etudes, Opp. 10 & 25. Warner Classics
B00005NEZM.
Lang Lang. 2012. Concerto No 2, Sonata No 3, Etude No 3, Op. 10. Wiener Philharmoniker
conducted by Zubin Mehta. Deutsche Grammophon B00949G75A.
Rubinstein, Arthur. 1932 [1999]. Rubinstein Collection, Vol. 6. RCA Red Seal B000026H5C.
. 1946 [1999]. Rubinstein Collection, Vol. 16. RCA Red Seal B001411W9W.
Sztompka, Henryk. 1955. Complete Mazurkas Vol. I. Polskie Nagrania Muza B00BOOMFTA.

177

VITA
Timothy D. Saeed was born in San Francisco, CA. He holds degrees from the University
of the Pacific Conservatory of Music, Boston University, and the University of New Mexico in
the areas of Music Theory and Piano Performance.

178